David F. Lutz
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 F Lutz, who also goes by Dave Lutz, David Francis Lutz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 12 firms and has passed the Series 63, Series 7, Series 8, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1996 - August 20, 1998
GLOBAL FINANCIAL GROUP, INC.
May 5, 1995 - April 10, 1996
PARAMOUNT INVESTMENTS INTERNATIONAL, INC.
November 29, 1994 - April 11, 1995
A. T. BROD & CO. INC.
October 7, 1994 - November 29, 1994
INTERFIRST CAPITAL CORPORATION
July 26, 1993 - October 28, 1994
WESTHAMPTON SECURITIES, INC.
February 8, 1991 - October 7, 1994
TAMARON INVESTMENTS, INC.
October 16, 1990 - February 1, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
August 28, 1989 - November 23, 1990
R.B. MARICH, INC.
January 27, 1988 - September 6, 1989
FINNET SECURITIES, INC.
April 18, 1985 - May 24, 1985
SECURITIES USA, INC.
February 13, 1985 - November 23, 1990
R.B. MARICH, INC.
July 30, 1984 - February 20, 1985
NIELSON AND CLARK INC.
November 2, 1982 - August 10, 1984
WALFORD, DEMARET & CO., 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
Series 8
Date: 3/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)F04
Date: 5/26/1978
Financial Principal ExaminationSeries 40
Date: 5/26/1978
Registered Principal ExaminationCurrent Firm
GLOBAL FINANCIAL GROUP, INC.
CRD#: 23958 / SEC#: , 8-40814
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 5 |
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.
