Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lucy is a financial advisor with over 30 years of experience in the industry. David is currently registered with Wells Fargo Clearing Services, LLC. David specializes in portfolio management for individuals and businesses, financial planning, and pension consulting. David has been with Wells Fargo Clearing Services, LLC since November 2016 and previously worked for Wells Fargo Advisors LLC. David also worked at First Union Brokerage Services, Inc. in the past.
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.
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.
Investment consulting services to institutional clients
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.
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2
DE
05/25/2007 - Present
Wells Fargo Clearing Services, LLC (NEWARK DE)
NC
05/01/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
04/01/1996 - 05/01/1998
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
IN
08/03/1992 - 04/01/1996
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
08/03/1992 - 04/01/1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NY
08/01/1991 - 06/24/1992
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
07/03/1991 - 08/01/1991
PAMCO SECURITIES AND INSURANCE SERVICES
NA
05/07/1987 - 09/01/1989
A. F. INVESTMENTS, INC.
NA
10/26/1984 - 05/04/1987
"SHAREAMERICA"
IA
Issued 05/24/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/21/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/16/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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