David K. Lightner

HAMILTON-BATES INVESTMENT RESEARCH

LAGUNA NIGUEL, CA

Some features on this profile are disabled

CRD#: 2561878

Professional summary

David Kirk Lightner is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in Laguna Niguel, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. David has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/2014 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kirk Lightner'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

April 6, 2018 - Present

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RIA

CRD#: 114127

LAGUNA NIGUEL, CA

Past

January 5, 2015 - March 27, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LAGUNA NIGUEL, CA

Past

January 2, 2015 - March 27, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LAGUNA NIGUEL, CA

Past

February 22, 2005 - December 31, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

LAGUNA NIGUEL, CA

Past

March 27, 2000 - December 31, 2014

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

LAGUNA NIGUEL, CA

Past

February 3, 1999 - March 21, 2000

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

July 20, 1998 - November 25, 1998

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

May 19, 1998 - July 20, 1998

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

August 15, 1997 - October 28, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 15, 1997 - October 28, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

March 27, 1995 - April 3, 1997

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

November 25, 1994 - March 3, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

California
(4/6/2018)

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

IAR

Series 66

Date: 2/15/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/23/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David K. Lightner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Kirk Lightner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MONEY CONCEPTS CAPITAL CORP

BROOKSTREET SECURITIES CORPORATION

SECURITIES SERVICE NETWORK, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/15/2005

Series 65

Date: 10/13/1999

Series 63

Date: 12/22/1994

SIE

Date: 3/27/2018

Series 7

Date: 3/17/2003

Series 6

Date: 11/23/1994

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

Similar Advisors