David Lum is a CFP-designated registered investment advisor, based in Stuart, FL, with 40 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold.
Location
1000 SE Monterey Commons Blvd, Suite 102, Stuart, FL, 34996
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David is a Director for the YMCA of the Treasure Coast since 2019, likely limited to PR and fundraising. He dedicates a few hours per week to this role.
Employment History
Current Registrations
Steward Partners Investment Advisory, LLC
Steward Partners Investment Solutions, LLCBroker
Previous Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
Shearson Lehman Hutton INC.Broker
E. F. Hutton & Company INCBroker
State Registrations36 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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