David
Lummus

Prospera Financial Services, Inc

CRD#2802260
Investment Advisor
in Incline Village, NV

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About this Advisor

David Lummus is a financial advisor based in Incline Village, Nevada, working with Prospera Financial Services, Inc. David has previously held positions at Morgan Stanley Smith Barney and Prospera Financial Services Inc. David has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in Nevada. Currently, David is part of Prospera Financial Services, Inc, which operates out of Incline Village, Nevada. The firm has 105 offices and 240 employees. The firm manages assets totaling $7.9 billion and serves a variety of clients, including charitable organizations and high-net-worth individuals. The services offered by the firm include financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, and selection of other advisers. The fee structure at Prospera Financial Services, Inc includes asset-based, hourly, fixed, commission-based, performance-based, and other fees.

Certifications and Registrations

Series 63, Series 65

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Performance-based Fees, Others

Office Location

120 Country Club Unit 7
Incline Village, NV 89451

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Prospera Financial Services, Inc Brokerage Details

Total Assets Under Management

$7,913,077,866

NV Average: $3,042,739,679
Total Number of Employees

240

NV Average: 49
Total Number of Accounts

20,915

NV Average: 2,315
Average Account Size

$378,345

NV Average: $1,314,358

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers

David Lummus Work History

2021 - Present (3 years)

Prospera Financial Services Inc

2009 - 2021 (12 years)

Morgan Stanley Smith Barney

Created with Highcharts 6.0.7

Disclosures

Please visit the SEC profile of David Lummus to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Prospera Financial Services, Inc

Joseph Giardano
Dallas, TX
Nikki Brooks
Dallas, TX
Tyler Lewis
Laconia, NH
Charles Evans
Dallas, TX
Tamekia Thompson
Dallas, TX
Nicholas Cipriano
Rancho Santa Fe, CA
Jonathan Fuimaono
Buckeye, AZ

The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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