David M. Lemoncelli
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 Michael Lemoncelli, who also goes by David M Lemoncelli, David Lemoncelli, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 6 firms and has passed the Series 66, 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
January 30, 2013 - December 3, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 30, 2013 - December 3, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 4, 2011 - May 13, 2011
CHARLES SCHWAB & CO., INC.
March 3, 2011 - May 13, 2011
CHARLES SCHWAB & CO., INC.
November 13, 2009 - September 22, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - September 22, 2010
PNC WEALTH MANAGEMENT LLC
October 13, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 6, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 19, 2007 - August 13, 2008
EQUITABLE ADVISORS, LLC
January 10, 2007 - August 13, 2008
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
