Kenneth L. Lucas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Lee Lucas was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2001 - October 26, 2001
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
August 21, 1995 - June 13, 2001
GLOBAL FINANCIAL GROUP, INC.
April 6, 1994 - July 28, 1995
SCHNEIDER SECURITIES, INC.
September 29, 1992 - November 4, 1993
SCHNEIDER SECURITIES, INC.
December 24, 1991 - September 17, 1992
GLOBAL CAPITAL SECURITIES CORPORATION
November 21, 1986 - October 3, 1990
MLB INVESTMENTS, LTD.
September 6, 1984 - February 20, 1987
AMERICAN FRONTEER FINANCIAL CORPORATION
February 29, 1984 - August 20, 1984
B. J. LEONARD AND COMPANY, INC.
January 27, 1984 - February 22, 1984
HACKERT/MODESITT INVESTMENTS, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
