David P. Lancaster, financial advisor San Mateo CA
70 score

David P. Lancaster

CRD Number: 1954353
Current Firm: Ubs Financial Services Inc.

David P. Lancaster (CRD# 1954353) is an Investment Advisor Representative working at Ubs Financial Services Inc. in San Mateo, CA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. San Mateo, CA May 2014 - Current 2
J.p. Morgan Securities LLC Palo Alto, CA Aug 2012 - Mar 2014 1
Keystone Solutions Kansasville, WI Nov 2011 - Jun 2012 < 1
Vtrader Pro, LLC San Francisco, CA Nov 2010 - Aug 2011 < 1
Lancaster Capital Management, LLC Redwood City, CA Jun 2003 - Dec 2010 7
Millenco New York, NY Jan 2007 - Mar 2007 < 1
Keystone Securities, LLC San Francisco, CA Jan 1998 - Dec 2006 8
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination May 2014
S63 Uniform Securities State Law Examination Dec 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for David P. P. Lancaster
Phone Number: 201-352-3000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
70

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