John D. Luce
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.
John David Luce, who also goes by David Luce, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2024 - October 29, 2024
ROBERTS & RYAN, INC.
July 16, 2019 - October 10, 2022
LUCID CAPITAL MARKETS, LLC
August 2, 2017 - October 31, 2017
ELEVATION, LLC
January 9, 2015 - September 24, 2015
ELEVATION, LLC
May 9, 2011 - July 2, 2012
ELEVATION, LLC
September 22, 2008 - September 4, 2009
BARCLAYS CAPITAL INC.
April 23, 1990 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
April 23, 1990 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
April 23, 1990 - September 22, 2008
LEHMAN BROTHERS INC.
November 19, 1985 - April 9, 1990
KIDDER, PEABODY & CO. INCORPORATED
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
ROBERTS & RYAN, INC.
CRD#: 19456 / SEC#: 801-113965, 8-37469
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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