Thomas A. Lukic

SANDPIPER CAPITAL

Norfolk, VA 23510-3300

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CRD#: 1000305

Professional summary

Thomas Allen Lukic, who also goes by Thomas Alan Lukic, Thomas Alen Lukic, is a registered financial advisor currently at SANDPIPER CAPITAL, LLC located in Norfolk, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Thomas has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Alan Lukic | Thomas Alen Lukic

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Allen Lukic's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 5, 2012 - Present

SANDPIPER CAPITAL, LLC

Office #1: 999 Waterside Dr #2600, Norfolk, VA 23510-3300

RIA

CRD#: 148542

Norfolk, VA

Past

October 23, 2008 - December 31, 2011

SANDPIPER CAPITAL, LLC

RIA

CRD#: 148542

NORFOLK, VA

Past

June 13, 2002 - October 1, 2008

BB&T ASSET MANAGEMENT, INC.

RIA

CRD#: 108443

NORFOLK, VA

Past

September 4, 1981 - January 4, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(1/5/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/4/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/1981

General Securities Representative Examination

Current Firm

SANDPIPER CAPITAL, LLC

CRD#: 148542 / SEC#: 801-69677

RIA

Registered Investment Advisory firm - (5/9/2012 Terminated)

Virginia

Registered Investment Advisory firm - (3/20/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

999 Waterside Dr #2600, Norfolk, VA 23510-3300

Mailing Address

Phone number

(757) 679-9781

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 36,614,396

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas A. Lukic

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Allen Lukic's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDPIPER CAPITAL, LLC

SANDPIPER CAPITAL, LLC

BB&T ASSET MANAGEMENT, INC.

A. G. EDWARDS & SONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/4/1981

Series 7

Date: 7/18/1981

Current Firm

SANDPIPER CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SANDPIPER CAPITAL, LLC

TRUST BUT VERIFY

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