David F. Lohn
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 Frazer Lohn was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - May 29, 2013
SUNSET FINANCIAL SERVICES, INC.
December 5, 2012 - December 16, 2013
SUNSET FINANCIAL SERVICES, INC.
March 16, 2005 - December 14, 2010
SUNSET FINANCIAL SERVICES, INC.
March 16, 2005 - December 14, 2010
SUNSET FINANCIAL SERVICES, INC.
September 23, 2003 - September 25, 2003
THE MUTUAL FUND STORE
May 7, 2002 - January 20, 2005
SECURITIES SERVICE NETWORK, LLC
July 20, 1999 - April 16, 2002
THE O.N. EQUITY SALES COMPANY
February 18, 1997 - July 22, 1999
NYLIFE SECURITIES LLC
April 18, 1996 - December 3, 1996
CINCINNATI ANALYSTS, INC.
September 19, 1995 - April 9, 1996
ONEAMERICA SECURITIES, INC.
September 19, 1995 - April 9, 1996
AMERICAN UNITED LIFE INSURANCE COMPANY
April 5, 1995 - September 20, 1995
NATIONWIDE FUND DISTRIBUTORS LLC
July 8, 1993 - February 22, 1995
PRUCO SECURITIES, 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
Current Firm
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
