David Lum, financial advisor Stuart FL
93 score

David Lum

CRD Number: 1412965
Current Firm: Raymond James & Associates, Inc.

David Lum (CRD# 1412965) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in Stuart, FL and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James & Associates, Inc. Stuart, FL Feb 2017 - Current 1
Bank Of America,na Stuart, FL Dec 2009 - Feb 2017 7
Merrill Lynch, Pierce, Fenner & Smith, Inc. Stuart, FL Sep 1999 - Feb 2017 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1987
S65 NASAA Investment Advisors Law Examination Sep 1996
Contact Info for David Lum
Phone Number: 727-567-1000
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    142,933
    MILLIONS
  • Total Number of Accounts
    472,443
    ACCOUNTS
  • Average Account Value
    $302,541
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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)
  • Other
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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