Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucy? Claim Your ProfileLucy Christel Matthews is an investment advisor with Wells Fargo Clearing Services, LLC. Lucy has been in the financial services industry since 1980. Previously, Lucy was registered with Morgan Stanley and Citigroup Global Markets Inc.. Lucy is registered in Arkansas, California, Colorado, Connecticut, Florida, Illinois, Indiana, Louisiana, Maine, Michigan, New Hampshire, New York, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, and Virginia. Lucy has passed the Series 63, Series 65, Series 7, Series 1, and SIE examinations. Lucy also holds a license to sell securities. Lucy also provides investment consulting services to institutional clients.
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.
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.
Investment consulting services to institutional clients
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.
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2
MI
09/08/2020 - Present
Wells Fargo Clearing Services, LLC (PORTAGE MI)
MI
06/01/2009 - 03/07/2016
MORGAN STANLEY (KALAMAZOO MI)
MI
05/04/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (KALAMAZOO MI)
MI
09/25/1998 - 05/11/2007
CITIGROUP GLOBAL MARKETS INC. (KALAMAZOO MI)
MI
05/11/1998 - 09/28/1998
RONEY & CO. (DETROIT MI)
MI
09/02/1993 - 05/11/1998
RONEY & CO. L.L.C. (DETROIT MI)
MI
06/26/1991 - 09/08/1993
CENTENNIAL SECURITIES COMPANY, INC. (GRAND RAPIDS MI)
WI
07/01/1988 - 07/24/1989
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
05/28/1986 - 07/01/1988
BUYS-MACGREGOR, MACNAUGHTON- GREENAWALT & CO.
NA
08/24/1978 - 03/28/1988
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
NA
03/26/1985 - 06/17/1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
IA
Issued 02/23/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
BC
Issued 08/13/1978
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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