David K. Pung

LIONS WEALTH MANAGEMENT

CHISAGO CITY, MN

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CRD#: 2505537

Professional summary

David Kenneth Pung is a registered financial advisor currently at LIONS WEALTH MANAGEMENT located in Chisago City, Minnesota.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 10/4/2018 - Farmland Properties - Investment Related - Home Based & Shafer MN 55074 - Real Estate Rental - Start Date: 07/03/2018 - 2 Hours Per Month/0 Hours During Trading. 2. INSURANCE SALES; INVESTMENT-RELATED; MINNEAPOLIS, MN; INSURANCE AGENT; 2021; APPROXIMATELY 30 HRS/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS 3. PUNG FINANCIAL, INC.; NOT INVESTMENT-RELATED; MINNESOTA; 2021; OWNER; 0 HRS/MO; RECEIVES INCOME/FINANCIAL TRANSACTIONS. 4. SNOW PROS, INC.; NOT INVESTMENT-RELATED; MN; SNOW REMOVAL COMPANY; BOOK KEEPER; START DATE: 2022; APPROXIMATELY 20 HRS/MO OUTSIDE TRADING HOURS; PERFORM BOOKKEEPING FOR THE COMPANY. 5. PUNG PROPERTIES, LLC; NOT INVESTMENT-RELATED; MINNESOTA; 2024; CO-OWNER; 0 HRS/MO; RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kenneth Pung's CRS (Customer Relationship Summary).

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

Current

February 16, 2021 - Present

LIONS WEALTH MANAGEMENT

RIA

CRD#: 300393

CHISAGO CITY, MN

Past

May 21, 2019 - October 23, 2020

SUMMIT INVESTMENT ADVISORY SERVICES

RIA

CRD#: 168594

ROSEVILLE, MN

Past

January 21, 2014 - March 3, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHISAGO CITY, MN

Past

July 15, 2003 - March 3, 2021

LPL FINANCIAL LLC

CRD#: 6413

CHISAGO CITY, MN

Past

October 13, 1999 - July 29, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 17, 1998 - October 8, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 25, 1997 - October 14, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 25, 1997 - October 14, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

September 25, 1995 - February 13, 1996

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

July 28, 1994 - September 26, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 28, 1994 - September 26, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(2/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/1994

General Securities Representative Examination

Current Firm

LIONS WEALTH MANAGEMENT

LIONS WEALTH MANAGEMENT | TARARA ASSET MANAGEMENT | PUNG FINANCIAL, INC. | LIONS WEALTH MANAGEMENT, INC.

CRD#: 300393 / SEC#:

Minnesota

Registered Investment Advisory firm - (3/28/2019 Approved)

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Contact information

Main Address

1600 Utica Avenue South Suite 900, St Louis Park, MN 55416

Mailing Address

1600 Utica Ave S Ste 900, St Louis Park, MN 55416

Phone number

(612) 790-7975

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 79,700,000

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.

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David K. Pung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kenneth Pung's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT INVESTMENT ADVISORY SERVICES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1994

SIE

Date: 10/1/2018

Series 7

Date: 7/27/1994

Current Firm

LIONS WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIONS WEALTH MANAGEMENT

TRUST BUT VERIFY

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