David C. Juneau
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 Charles Juneau was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 63, SIE 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
July 15, 1998 - April 5, 2019
J.M LUMMIS SECURITIES, INC.
September 16, 1996 - March 17, 1998
SOUTHPORT SECURITIES, LLC
March 26, 1992 - February 11, 1995
WASHINGTON INVESTMENT CORPORATION
January 2, 1990 - July 24, 1990
BGC FINANCIAL, L.P.
May 21, 1987 - May 6, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
J.M LUMMIS SECURITIES, INC.
CRD#: 43818 / SEC#: , 8-50435
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. M. LUMMIS & COMPANY, INC. | SHAREHOLDER | |
| LUMMIS, DAVID CARLETON | PRESIDENT/CEO, CCO | 2936177 |
Disclosures
| Regulatory Event | 1 |
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.
