David J. Bontempo

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CRD#: 809545

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 John Bontempo was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1975. David had worked at 12 firms and has passed the Series 65, Series 3, Series 7 and Series 1 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

October 13, 2014 - March 14, 2016

LCM CAPITAL MANAGEMENT INC

RIA

CRD#: 111074

STERGEON BAY, WI

Past

March 31, 2014 - September 26, 2014

INVESTMENT PARTNERS FUNDING, INC.

RIA

CRD#: 170139

STURGEON BAY, WI

Past

July 26, 2007 - November 1, 2007

CERULEAN INVESTMENT STRATEGIES GROUP, LLC

RIA

CRD#: 144241

SALT LAKE CITY, UT

Past

January 17, 1991 - May 6, 1992

LIBERTY INVESTMENT COUNSEL, LTD.

CRD#: 10062

Past

January 11, 1989 - July 15, 1989

LISS FINANCIAL SERVICES

CRD#: 21950

Past

May 14, 1988 - July 22, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 2, 1987 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

January 24, 1984 - August 20, 1987

LIBERTY INVESTMENT COUNSEL, LTD.

CRD#: 10062

Past

August 8, 1983 - November 21, 1983

GROOTEMAAT SECURITIES CORPORATION

CRD#: 13004

Past

April 10, 1981 - February 3, 1983

CREATIVE ASSET MANAGEMENT, INC.

CRD#: 8510

Past

March 14, 1977 - May 9, 1981

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

September 27, 1976 - February 10, 1977

ALL AMERICAN MANAGEMENT CORPORATION

CRD#: 21

Past

July 1, 1975 - October 23, 1976

GENERAL INVESTMENT SALES CORPORATION

CRD#: 347

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".

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 11/6/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 12/19/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/27/1975

Registered Representative Examination

Current Firm

LCM CAPITAL MANAGEMENT INC

CRD#: 111074 / SEC#: 801-67893

RIA

Registered Investment Advisory firm - (5/23/2007 Approved)

Illinois

Registered Investment Advisory firm - (5/30/2007 Terminated)

Indiana

Registered Investment Advisory firm - (7/24/2007 Terminated)

Texas

Registered Investment Advisory firm - (7/24/2007 Terminated)

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Contact information

Main Address

209 W. Jackson Boulevard Suite 777, Chicago, IL 60606

Mailing Address

Phone number

(312) 705-3013

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/24/2025)

FORM ADV APPENDIX WRAP BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 365,277,954

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. Bontempo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT PARTNERS FUNDING, INC.

CERULEAN INVESTMENT STRATEGIES GROUP, LLC

LIBERTY INVESTMENT COUNSEL, LTD.

LISS FINANCIAL SERVICES

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

LIBERTY INVESTMENT COUNSEL, LTD.

GROOTEMAAT SECURITIES CORPORATION

CREATIVE ASSET MANAGEMENT, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ALL AMERICAN MANAGEMENT CORPORATION

GENERAL INVESTMENT SALES CORPORATION

Primary Firm SEC Registration

LCM CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/2013

Series 3

Date: 12/19/1996

Series 7

Date: 6/20/1987

Series 1

Date: 6/27/1975

Current Firm

LCM CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LCM CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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