Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lucas is a financial advisor with over 25 years of experience in the industry. John is currently registered with UBS Financial Services Inc., where John has been employed since January 2009. Prior to this, John worked with CREDIT SUISSE SECURITIES (USA) LLC and DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION. John is a licensed Investment Advisor Representative and holds Series 7, Series 63, and Series 65 licenses. John is also a registered representative in Alaska, Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Nevada, New Jersey, New York, Texas, and Utah.
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.
See schedule d - miscellaneous
1
2
CA
01/20/2009 - Present
UBS Financial Services Inc. (Mill Valley CA)
CA
07/31/2002 - 02/11/2009
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
NJ
08/18/1998 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
05/30/1996 - 08/25/1998
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 06/07/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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