David W. Lentz
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 Willingham Lentz was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 6 firms and has passed the Series 66, SIE, Series 31 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
June 20, 2017 - October 20, 2020
KESTRA ADVISORY SERVICES, LLC
June 20, 2017 - October 20, 2020
KESTRA INVESTMENT SERVICES, LLC
July 3, 2013 - June 20, 2017
PROSPERA FINANCIAL SERVICES, INC.
June 28, 2013 - June 20, 2017
PROSPERA FINANCIAL SERVICES, INC.
January 15, 2008 - June 28, 2013
TCA FINANCIAL GROUP, LLC
January 8, 2008 - June 28, 2013
TCA FINANCIAL GROUP, LLC
September 9, 2003 - September 6, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 14, 2003 - September 6, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
