David W. Lowrance
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David William Lowrance was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2004 - December 6, 2013
LUMBARD & KELLNER, LLC
June 21, 1999 - April 4, 2003
PRIME CAPITAL SERVICES, INC.
May 26, 1994 - June 21, 1999
AVANTAX INVESTMENT SERVICES, INC.
October 12, 1993 - April 27, 1994
IDS LIFE INSURANCE COMPANY
October 12, 1993 - April 27, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LUMBARD & KELLNER, LLC
CRD#: 117196 / SEC#: 801-61888
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LUMBARD & KELLNER, LLC
CRD#: 117196 / SEC#: 801-61888
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 357,178,342 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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