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David Philip Luna

Stifel, Nicolaus & Company, Incorporated

Pasadena, CA

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-09-25
  • CA RA
    APPROVED
    Since 2007-09-25

Branch Locations

Gateway Plaza, 300 North Lake Avenue Suite 900, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated Pasadena CA 09/2007 Present
Previous Registrations
  • 1997-07-08 → 2007-10-11
    A. G. Edwards & Sons, Inc.
    Pasadena, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1979-12-03
  • S63 Uniform Securities Agent State Law Examination
    1979-12-03
Other Names
  • David Phillip Luna

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
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