Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Raymond Lucas is a financial advisor with over 15 years of experience in the financial services industry. Steven is a registered representative and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Prior to joining Merrill Lynch, Steven worked with BANC OF AMERICA INVESTMENT SERVICES, INC. and Ameriprise Financial Services, Inc.. Steven holds licenses for Series 66, Series 10, Series 9, SIE and Series 7 exams and is registered to conduct business in Connecticut, Massachusetts, Rhode Island and Texas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
RI
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)
RI
10/25/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)
MA
06/18/2007 - 09/07/2007
AMERIPRISE FINANCIAL SERVICES, INC. (WORCESTER MA)
BOTH
Issued 07/02/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/10/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/28/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Steven Lucas is the right advisor for you? Invested Better is here to help.
