David J. Lubitz

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CRD#: 2807281

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 Joshua Lubitz was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 1, 2018 - July 29, 2021

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

ELLICOTT CITY, MD

Past

April 22, 2016 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

ELLICOTT CITY, MD

Past

January 15, 2010 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA

CRD#: 113299

ELLICOTT CITY, MD

Past

January 15, 2010 - April 22, 2016

SANDERS MORRIS LLC

CRD#: 20580

ELLICOTT CITY, MD

Past

July 24, 1998 - January 11, 2010

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WILMINGTON, DE

Past

November 8, 1996 - January 6, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BETHESDA, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 6/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1996

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: 11/7/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/27/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/15/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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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Firm Stability Insights

David J. Lubitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RETIREONE INVESTMENT SERVICES, LLC

EDELMAN FINANCIAL SERVICES, LLC

SANDERS MORRIS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/1998

Series 63

Date: 10/10/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/7/1996

Series 10

Date: 10/27/2003

Series 9

Date: 9/15/2003

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

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