Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucie? Claim Your ProfileLucie Hoai-dung McGowan is a financial advisor with over 20 years of experience in the financial services industry. Lucie is currently registered with TIAA-Cref Individual & Institutional Services, LLC in Charlotte, North Carolina. Lucie has previously been registered with several firms, including Evergreen Investment Services, Inc., NYLIFE Distributors LLC, AXA Advisors, LLC, Prudential Investment Management Services LLC and NYLIFE Distributors Inc. Lucie holds the following licenses: Series 6, Series 7, Series 24, Series 63, and Series 65. Lucie has experience providing financial planning services, portfolio management for individuals, and selection of other advisors.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Compensation from affiliates
1
2
NC
07/01/2010 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
NC
06/30/2005 - 12/31/2009
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NJ
05/09/2003 - 05/03/2005
NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)
NY
11/07/2000 - 04/17/2003
AXA ADVISORS, LLC (NEW YORK NY)
NJ
04/07/2000 - 10/11/2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
07/07/1998 - 02/09/2000
NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)
IA
Issued 10/12/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2001
Series 7 - General Securities Representative Examination
BC
Issued 07/06/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Lucie McGowan is the right advisor for you? Invested Better is here to help.
