David Aquino Lumiqued

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1996 → Present
  Independent Capital Management, Inc.
  South Pasadena, CA
• 01/2009 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  West Covina, CA

Previous Registrations

• 2017-03-04 → 2023-09-01
  Osaic Services, Inc.
  West Covina, CA
• 2000-02-10 → 2017-01-06
  Independent Capital Management
• 2002-06-24 → 1998-01-30
  Independent Capital Management
  South Pasadena, CA

Other Businesses

1.ICM LENDING POSITION: Owner -ICM NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 30 START DATE: 10/29/2007 ADDRESS: ICM Lending, 100 N Barranca St Ste. 810, West Covina CA 91791, United States DESCRIPTION: I talk to existing and new clients, if they have a need for refinancing or purchasing and need loan advice, I gather information and send it to our Lenders who recommend what loan program works best for the client. I get Credit Authorization and fill out Application. 2.DAVID LUMIQUED-NOTARY PUBLIC,NOT INVESTMENT RELATED,100 N. Barranca St. Ste. 810, West Covina, CA 91791.,NOTARY PUBLIC1/1/1997,5HRS/MONTH, 2HRS DURING TRADING,NOTARIZE LIVING TRUSTS AND DOCUMENTS PERIODICALLY IN THE COURSE OF DOING BUSINESS. COMMISSION #1954876, EXPIRATION DATE OCTOBER 25, 2019. 3.ICM REAL ESTATE,NOT INVESTMENT RELATED,1401 DOVE ST, STE. 430, NEWPORT BEACH, CA 92660,OWNER-REFERER,1/1/2005,10HRS/MONTH, 5HRS DURING TRADING,REFER CLIENTS AND PROSPECTS TO ICM REAL ESTATE WHO HELPS THEM LOOK TO BUY/SELL HOME/S... POLICY [ACCOUNT NO.], EXPIRATION DATE NOVEMBER 28, 2019- NOVEMBER 29, 2020. 4.INDEPENDENT CAPITAL MANAGMENT, INC.; INVESTMENT RELATED;100 N. Barranca St. Ste. 810, West Covina, CA 91791; DIVISION MAANGER-REGISTERED INVESTMENT ADVISOR; START DATE:01/01/1996; 180HOURS/MONTH; 90 HOURS DURING TRADING HOURS; EMPLOYEE WITH ICM INC., OWNER, SHAREHOLDER, BOARD OF DIRECTORS. DIVISION MANAGER OF THE S. PASADENA BRANCH OF ICM. 5. CITADEL LAW OFFICES POSITION: Other - Certified Citadel Estate Planner-I gather information and forward to Attorneys who prepare, and set-up the trust. I then will help to notarize and fund living trust. NATURE: Other - Citadel law Offices are the attorneys that we use for client need. They are not part of ICM. We refer clients to help in Trust preparation. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/1996 ADDRESS: Citadel Law Offices 2372 Morse Ave., Irvine CA 92614-9738, United States DESCRIPTION: Gather information and forward to attorneys who speak to client, prepare the documents, then I notarize and help the client fund living trust. 6.ICM INSURANCE SERVICES, NOT INVESTMENTRELATED,100 N. Barranca St. Ste. 810, West Covina, CA 91791. POSITION:DIVISION MANAGER-INSURANCE AGENTSTARTDATE :01-JAN-1996HOURS :90SECURITYHOURS: 25BRIEF DESCRIPTION OF DUTIES :I AM INSURANCE LICENSED AND DO ALL LIFE, HEALTH, DIS., LTC BUSINESS THROUGH ICM INSURANCE SERVICES 7. SOCIETY FOR FINANCIAL AWARENESS-SOFA POSITION: West Covina Chapter President NATURE: Non-Profit Educational Seminars and or meeting events. (SOFA) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/23/2020 ADDRESS: 10 N. Baranca St. Ste. 810, West Covina CA 91791, United States DESCRIPTION: Present Non-Profit Education Seminars to the Public and or prospects or Businesses locally to my office.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-29
• S63 Uniform Securities Agent State Law Examination
  1995-12-26

Other Names

• Dave Lumiqued