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Lucas Scott Lavin

Advisors Asset Management, Inc.

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About Lucas Scott Lavin

Lucas Lavin is a registered investment advisor representative with Advisors Asset Management, Inc. Lucas has been in the securities industry since October 17, 2004. Lucas holds the Series 6, Series 7 and Series 66 licenses and is registered in Connecticut, Maine, Massachusetts, New Hampshire and Rhode Island. Lucas was previously employed by Hennion & Walsh, Inc., Patrick Capital Markets, LLC and First Trust Portfolios L.P. Lucas is also registered with the state of Massachusetts as an investment advisor representative.

Firm Information

Lucas Lavin is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Lucas Lavin’s Registration & Firm History

NY

09/27/2023 - Present

Advisors Asset Management, Inc. (MELVILLE NY)

NJ

01/10/2019 - 08/24/2023

HENNION & WALSH, INC. (PARSIPPANY NJ)

CA

06/14/2018 - 01/28/2019

PATRICK CAPITAL MARKETS, LLC (Corona del Mar CA)

IL

09/24/2008 - 05/04/2016

FIRST TRUST PORTFOLIOS L.P. (WHEATON IL)

MA

08/28/2002 - 10/02/2008

SUN LIFE FINANCIAL DISTRIBUTORS, INC. (BOSTON MA)

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Licenses & Designations

BOTH

Issued 06/25/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/09/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/22/2011

Series 7 - General Securities Representative Examination

BC

Issued 08/27/2002

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Lucas Scott Lavin.
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