Charles C. 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.
Charles Craft Lucas III, who also goes by Charles Craft Lucas, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 14, Series 28 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
January 28, 2016 - March 1, 2016
MIP GLOBAL, INC.
July 18, 2014 - November 2, 2015
BOURNE PARTNERS SECURITIES, LLC
November 6, 2012 - January 3, 2023
ELEVATION, LLC
August 2, 1984 - November 18, 1986
NEW ENGLAND SECURITIES
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
Series 28
Date: 12/27/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MIP GLOBAL, INC.
CRD#: 164640 / SEC#: , 8-69110
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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