Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Grice Lucas is a registered representative with Stifel, Nicolaus & Company, Inc. David has been in the securities industry since April 1, 1970. David has a Series 63 license and is also a registered investment advisor in Georgia and Texas. David's previous registrations include Sterne, Agee & Leach, Inc., Wachovia Securities, LLC, Wachovia Securities, Inc., J.C. Bradford & Co., Ward Bradford & Co., L.P., Essex Financial Services, Inc., Essex Company, and Thornton, Farish & Gauntlet, Inc.. David is a licensed principal in multiple states. David offers a variety of financial services, including portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
GA
12/20/2023 - Present
Stifel, Nicolaus & Company, Inc. (MACON GA)
GA
09/12/2003 - 07/07/2015
STERNE, AGEE & LEACH, INC. (MACON GA)
MO
06/15/2002 - 09/24/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
07/21/1997 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
04/02/1990 - 08/01/1997
J.C. BRADFORD & CO. (NEW YORK NY)
GA
05/26/1993 - 08/14/1996
WARD BRADFORD & CO., L.P. (ATLANTA GA)
AL
09/30/1987 - 09/05/1990
ESSEX FINANCIAL SERVICES, INC. (MONTGOMERY AL)
NA
05/02/1978 - 04/12/1990
ESSEX COMPANY
NA
04/02/1970 - 06/06/1978
THORNTON, FARISH & GAUNTT, INC.
IA
Issued 09/11/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/18/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/26/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/22/1978
F04 - Financial Principal Examination
BC
Issued 07/21/1976
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1970
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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