David Lufkin
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 Lufkin, who also goes by Dave Lufkin, David John Lufkin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2016 - April 5, 2018
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 31, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 31, 2004 - July 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 1997 - March 31, 2004
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
December 18, 1996 - November 16, 2001
AMERICAN EXPRESS SERVICE CORPORATION
May 2, 1996 - May 30, 1996
IDS LIFE INSURANCE COMPANY
May 2, 1996 - May 30, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
CRD#: 7325 / SEC#: , 8-1369
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
