David R. Lund
Professional summary
David Robert Lund was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, David had worked at 4 firms, which includes NEWPORT COAST SECURITIES INC., MISSION SECURITIES CORPORATION, AMERICAN INCOME SECURITIES, INCOME NETWORK COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2005 - July 5, 2006
NEWPORT COAST SECURITIES, INC.
January 28, 2002 - December 20, 2002
MISSION SECURITIES CORPORATION
April 5, 1999 - January 3, 2002
AMERICAN INCOME SECURITIES
June 18, 1996 - December 10, 1998
INCOME NETWORK COMPANY
April 27, 1992 - June 28, 1995
INCOME NETWORK COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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