DL
David J. Lutz
JONESTRADING
Thousand Oaks, CA 91360
Some features on this profile are disabled
CRD#: 2527880
DL
Professional summary
David Jerome Lutz, who also goes by David Lutz, is a registered financial professional currently at JONESTRADING located in Thousand Oaks, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Lutz
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.
CRS (Client Relationship Summary) - BD
Click below to view David Jerome Lutz'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®
NoneExperience
Current
May 27, 2014 - Present
JONESTRADING
Office #1: 555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360BD
CRD#: 6888
Thousand Oaks, CA
Past
April 25, 2007 - May 27, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BALTIMORE, MD
Past
July 1, 2003 - February 23, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
April 26, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 14, 1999 - July 13, 1999
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 10, 1999 - March 27, 2000
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
February 24, 1995 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/27/2014)
RR
Alaska(5/27/2014)
RR
Arizona(5/27/2014)
RR
Arkansas(5/27/2014)
RR
California(5/27/2014)
RR
Colorado(5/27/2014)
RR
Connecticut(5/27/2014)
RR
Delaware(5/27/2014)
RR
District of Columbia(5/27/2014)
RR
Florida(5/27/2014)
RR
Georgia(5/27/2014)
RR
Hawaii(5/27/2014)
RR
Idaho(5/27/2014)
RR
Illinois(5/27/2014)
RR
Indiana(5/27/2014)
RR
Iowa(5/27/2014)
RR
Kansas(5/27/2014)
RR
Kentucky(5/27/2014)
RR
Louisiana(5/27/2014)
RR
Maine(5/27/2014)
RR
Maryland(5/27/2014)
RR
Massachusetts(5/27/2014)
RR
Michigan(5/27/2014)
RR
Minnesota(5/27/2014)
RR
Mississippi(5/27/2014)
RR
Missouri(5/27/2014)
RR
Montana(5/27/2014)
RR
Nebraska(5/27/2014)
RR
Nevada(5/27/2014)
RR
New Hampshire(5/27/2014)
RR
New Jersey(5/27/2014)
RR
New Mexico(5/27/2014)
RR
New York(5/27/2014)
RR
North Carolina(5/27/2014)
RR
North Dakota(5/27/2014)
RR
Ohio(5/27/2014)
RR
Oklahoma(5/27/2014)
RR
Oregon(5/27/2014)
RR
Pennsylvania(5/27/2014)
RR
Rhode Island(5/27/2014)
RR
South Carolina(5/27/2014)
RR
South Dakota(5/27/2014)
RR
Tennessee(5/27/2014)
RR
Texas(5/27/2014)
RR
Utah(5/27/2014)
RR
Vermont(5/27/2014)
RR
Virginia(5/27/2014)
RR
Washington(5/27/2014)
RR
West Virginia(5/27/2014)
RR
Wisconsin(5/27/2014)
RR
Wyoming(5/27/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/19/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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
JONESTRADING
CRD#: 6888Thousand Oaks, CA 91360TRUST BUT VERIFY
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