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Joseph Anthony Lucas

Apex Clearing Corp.

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About Joseph Anthony Lucas

Joseph Lucas is a financial professional with over 14 years of experience in the financial services industry. He is currently registered with Apex Clearing Corp. and holds a Series 4, Series 7, Series 24, and Series 63 license. Joseph is a licensed securities professional in the state of Texas.

Firm Information

Joseph Lucas is currently registered with Apex Clearing Corp.. Apex Clearing Corp. is a corporation formed in December 1978. The firm is registered in 53 states and the District of Columbia and has 1 approved SEC registration. Apex Clearing Corp. has been subject to 47 regulatory events and 8 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

126

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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Joseph Lucas’s Registration & Firm History

TX

12/12/2016 - Present

Apex Clearing Corp. (DALLAS TX)

TX

04/09/2020 - 11/03/2022

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

TX

08/11/2008 - 11/30/2016

TD AMERITRADE, INC. (FORT WORTH TX)

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Licenses & Designations

BC

Issued 08/15/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/17/2011

Series 4 - Registered Options Principal Examination

BC

Issued 02/11/2011

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/13/2011

Series 3 - National Commodity Futures Examination

BC

Issued 08/08/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

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

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph Anthony Lucas.
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