Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lucas is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the financial industry since 2021. David works with a range of clients including high-net-worth individuals, corporations, pension and profit-sharing plans, insurance companies, and charitable organizations. David offers a variety of financial services including portfolio management, selection of other advisors, and educational seminars. David's previous experience includes positions with LPL Financial LLC, Goldman Sachs & Co. LLC, and Griffin Capital Securities, LLC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
AZ
03/19/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
01/03/2023 - 11/27/2023
LPL FINANCIAL LLC (SCOTTSDALE AZ)
TX
06/22/2021 - 10/19/2022
GOLDMAN SACHS & CO. LLC (Dallas TX)
AZ
02/12/2021 - 05/19/2021
GRIFFIN CAPITAL SECURITIES, LLC (Phoenix AZ)
IA
Issued 11/10/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/02/2021
Series 3 - National Commodity Futures Examination
BC
Issued 02/12/2021
Series 7TO - General Securities Representative Examination
BC
Issued 11/12/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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