Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jim? Claim Your ProfileJim Lucas is a registered investment advisor representative with J.p. Morgan Securities LLC. Jim has been in the industry for 20 years. He has a Series 7, Series 31, and Series 66 license. He is registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Jim is also a registered investment advisor representative with J.P. Morgan Securities LLC. Jim has a Series 7, Series 31, and Series 66 license.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
11/21/2022 - Present
J.p. Morgan Securities LLC (Palo Alto CA)
CA
11/02/2018 - 04/07/2022
BANCWEST INVESTMENT SERVICES, INC. (BURLINGAME CA)
CA
04/17/2012 - 06/06/2017
HSBC SECURITIES (USA) INC. (San Francisco CA)
CA
08/04/2011 - 04/17/2012
E*TRADE SECURITIES LLC (PALO ALTO CA)
CA
05/16/2003 - 06/20/2011
CHARLES SCHWAB & CO., INC. (MENLO PARK CA)
NY
02/21/2000 - 11/22/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 03/17/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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