David B. Bagan
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 Benjamin Bagan, who also goes by David B Bagan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2021 - July 18, 2022
LFT SECURITIES, LLC
November 12, 2018 - May 28, 2021
MORGAN STANLEY
May 17, 2018 - August 9, 2018
RISE FINANCIAL SERVICES, LLC
December 23, 2009 - June 17, 2011
DEUTSCHE BANK SECURITIES INC.
June 7, 2001 - February 13, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LFT SECURITIES, LLC
CRD#: 290210 / SEC#: , 8-70015
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMA FINANCIAL TECHNOLOGIES, LLC | OWNER, SOLE MEMBER | |
| BONACCI, TIMOTHY JOHN | PRESIDENT & CEO | 4194271 |
| JENKINS, ROBERT PATRICK | CHIEF FINANCIAL OFFICER | 6030790 |
| POGAN, DONALD | COO & POO | 5611677 |
| RUSSELL, SARAH DETLING | PRINCIPAL FINANCIAL OFFICER & FINOP | 6727189 |
| STACHE, PAUL GERARD | CHIEF COMPLIANCE OFFICER | 1170097 |
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.
