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Joanna Carmen Lucas

National Financial Services LLC

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About Joanna Carmen Lucas

Joanna Carmen Lucas is a financial professional with over 13 years of experience in the industry. Joanna has a strong track record of providing investment advice and guidance to clients. Joanna is currently registered with National Financial Services LLC. Prior to her current role, Joanna was registered with Fidelity Brokerage Services LLC. Joanna holds the Series 6, 7, 63, SIE, and 99TO licenses. Joanna is committed to providing her clients with the highest quality of service and helping them achieve their financial goals.

Firm Information

Joanna Lucas is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joanna Lucas’s Registration & Firm History

TX

12/22/2016 - Present

National Financial Services LLC (WESTLAKE TX)

TX

01/17/2014 - 11/09/2016

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

TX

01/16/2009 - 11/08/2013

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

TX

06/12/2008 - 07/23/2008

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

TX

02/25/2008 - 03/17/2008

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

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Licenses & Designations

BC

Issued 02/06/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/07/2012

Series 7 - General Securities Representative Examination

BC

Issued 02/22/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joanna Carmen Lucas.
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