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DL

David P. Lancaster

Some features on this profile are disabled
CRD#: 1954353
DL

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 Pope Lancaster, who also goes by Dave Lancaster, David P. Lancaster, David Pope Lancaster, David Lancaster, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55, Series 3, Series 30, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Lancaster | David P. Lancaster | David Pope Lancaster | David Lancaster

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 6, 2023 - October 31, 2024

REGIMENT SECURITIES, LLC.

BD
CRD#: 311302
CHICAGO, IL
Past

March 8, 2023 - July 19, 2023

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

April 6, 2021 - January 7, 2022

EMERSON EQUITY LLC

RIA
CRD#: 130032
San Mateo, CA
Past

October 21, 2019 - February 16, 2021

SVB WEALTH

RIA
CRD#: 172832
San Francisco, CA
Past

April 3, 2019 - October 9, 2019

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

March 31, 2018 - April 8, 2019

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

January 26, 2018 - February 16, 2018

LICCAR SECURITIES, LLC

BD
CRD#: 151034
CHICAGO, IL
Past

May 9, 2014 - August 23, 2016

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN MATEO, CA
Past

May 1, 2014 - August 23, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN MATEO, CA
Past

November 1, 2012 - April 29, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PALO ALTO, CA
Past

February 4, 2009 - November 29, 2010

LANCASTER CAPITAL MANAGEMENT, LLC

RIA
CRD#: 146447
BURLINGAME, CA
Past

February 23, 2007 - April 3, 2007

MILLENCO LLC

BD
CRD#: 33726
NEW YORK, NY
Past

August 21, 1998 - December 12, 2006

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
BURLINGTON, WI
Past

June 18, 1996 - February 5, 1998

SHEPHERD FINANCIAL GROUP, LLC

BD
CRD#: 38689
VERNON HILLS, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/8/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 3/12/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 5/15/1996
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 2/5/1997
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/25/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/21/1996
General Securities Principal Examination

Current Firm

RS
REGIMENT SECURITIES, LLC.
REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
420 N. Wabash Avenue, Chicago, IL 60611
Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611
Phone number
(773) 480-7561
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGIMENT, LLC.MEMBER
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
JONES, SHARON DOSTERFINOP/PFO/POO3124470

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.

Company Information

REGIMENT SECURITIES, LLC.

CRD#: 311302

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