David Luina
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 Luina was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 12 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 15, 2014 - January 22, 2015
LAMPERT CAPITAL MARKETS INC.
May 6, 2013 - October 18, 2013
PHX FINANCIAL, INC.
March 14, 2013 - April 4, 2013
JOHN THOMAS FINANCIAL
November 22, 2011 - January 9, 2012
CALDWELL INTERNATIONAL SECURITIES
September 28, 2011 - November 18, 2011
PHD CAPITAL
August 17, 2011 - October 3, 2011
BROOKVILLE CAPITAL PARTNERS
February 3, 2011 - March 3, 2011
GLOBAL ARENA CAPITAL CORP
November 4, 2010 - January 10, 2011
AVALON PARTNERS, INC.
July 7, 2010 - August 2, 2010
CHARLES MORGAN SECURITIES, INC.
April 21, 2009 - June 4, 2009
SEABOARD SECURITIES, INC.
January 5, 2007 - April 27, 2007
PHD CAPITAL
December 1, 2006 - January 9, 2007
THE ROCKWELL FINANCIAL GROUP, INC.
November 10, 2006 - November 30, 2006
J.P. TURNER & COMPANY, L.L.C.
May 12, 2005 - February 9, 2006
THE ROCKWELL FINANCIAL GROUP, INC.
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
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
