David O. Lommen
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 Owen Lommen, who also goes by Dave Lommen, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 16 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
January 19, 2012 - September 15, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2012 - September 15, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 5, 2010 - July 16, 2012
ADDISON AVENUE FINANCIAL PARTNERS, LLC
March 10, 2010 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
January 7, 2010 - March 1, 2010
NATIONAL PLANNING CORPORATION
January 7, 2010 - March 1, 2010
NATIONAL PLANNING CORPORATION
July 1, 2004 - June 15, 2009
WELLS FARGO INVESTMENTS, LLC
July 1, 2004 - June 15, 2009
WELLS FARGO INVESTMENTS, LLC
February 11, 2003 - June 23, 2004
CITICORP INVESTMENT SERVICES
February 11, 2003 - June 23, 2004
CITICORP INVESTMENT SERVICES
May 15, 2001 - January 31, 2003
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - January 31, 2003
WELLS FARGO INVESTMENTS, LLC
November 5, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
January 19, 1999 - December 8, 1999
WAMU INVESTMENTS, INC.
July 9, 1996 - December 9, 1998
BA INVESTMENT SERVICES, INC.
May 31, 1996 - July 8, 1996
LPL FINANCIAL LLC
May 18, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
March 14, 1995 - June 5, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 25, 1993 - March 14, 1995
WELLS FARGO SECURITIES INC.
June 24, 1992 - October 25, 1993
MARKETING ONE SECURITIES, INC.
August 3, 1989 - July 14, 1992
INVEST FINANCIAL CORPORATION
December 19, 1988 - June 8, 1989
GFC SECURITIES CORPORATION
April 18, 1984 - January 9, 1989
DIVERSIFIED SECURITIES, INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
