David F. Lynch
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 Francois Lynch, who also goes by David Lynch, David Francois Lynch, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 10 firms and has passed the Series 66, Series 63, Series 31, SIE, Series 7, Series 9, Series 10, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2021 - October 25, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 13, 2021 - October 25, 2022
FIDELITY BROKERAGE SERVICES LLC
November 25, 2019 - November 18, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2019 - November 18, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2017 - April 16, 2018
SCOTTRADE, INC.
April 25, 2006 - April 16, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 12, 2003 - April 16, 2018
TD AMERITRADE, INC.
November 7, 1997 - April 16, 2018
TD AMERITRADE, INC.
February 25, 1993 - November 7, 1997
KENNEDY, CABOT & CO.
October 11, 1992 - January 19, 1993
JMC INVESTMENT SERVICES, INC.
November 30, 1989 - October 6, 1992
WEDBUSH SECURITIES INC.
January 3, 1989 - September 6, 1989
M.L. STERN & CO., LLC.
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
Series 8
Date: 1/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
