Charles Lucy
BAY RIVERS GROUP WEALTH PARTNERS
Williamsburg, VA 23188
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CRD#: 1603851
Professional summary
Charles Lucy, CFP®, who also goes by Charles Phillip Lucy, is a registered financial advisor currently at BAY RIVERS GROUP WEALTH PARTNERS located in Williamsburg, Virginia.
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Insurance Planning
Retirement Planning
Education Planning
Are you a "fiduciary"?
Yes
Aliases
Charles Phillip Lucy
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.
1. ABCM Partners, LLC dba Bay Rivers Group Tax Services; investment related: YES; Location of the business: 5107 Center Street B1; Description of the business: Bay Rivers Group Tax Preparation will have a CPA that will provide tax preparation services for the public. ; Position Title: Partner; Responsibilities Duties: Duties will include managing the expenses of the LLC. Most business functions, including all tax preparation services of the LLC, will be managed by the CPA.; Start date with business: 2020-11-01; Hours devoted to business during trading hours: 0;
Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 1.
2. 5107 Partners, LLC; investment related: Yes; Location of the business: 5107 Center Street B1;
Description of the business: Partnership created to purchase and lease out the office space in which BRG currently maintains as it's office.; Position Title: Owner; Responsibilities Duties: We each own 25% of the entity. There are virtually no duties except to pay the HOA and mortgage.;
Start date with business: 2018-10-01; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 1.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Lucy'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®
CFP®
Start date: 2004
Experience
Current
March 7, 2018 - Present
BAY RIVERS GROUP WEALTH PARTNERS
Office #1: 5107 Center Street B1, Williamsburg, VA 23188RIA
CRD#: 290095
Williamsburg, VA
Past
December 7, 2006 - March 7, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WILLIAMSBURG, VA
Past
December 7, 2006 - March 7, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WILLIAMSBURG, VA
Past
February 21, 2006 - December 15, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WILLIAMSBURG, VA
Past
February 21, 2006 - December 15, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WILLIAMSBURG, VA
Past
September 11, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
WILLIAMSBURG, VA
Past
July 19, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
December 19, 1986 - February 27, 1987
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
BAY RIVERS GROUP WEALTH PARTNERS
BAY RIVERS GROUP WEALTH PARTNERS | BRG | BAY RIVERS GROUP, INC.
CRD#: 290095 / SEC#: 801-111951
RIA
Registered Investment Advisory firm - (10/27/2017 Approved)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
New York(4/21/2021)
IAR
Texas(6/17/2024)
IAR
Virginia(3/7/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BR
BAY RIVERS GROUP WEALTH PARTNERS
BAY RIVERS GROUP WEALTH PARTNERS | BRG | BAY RIVERS GROUP, INC.
CRD#: 290095 / SEC#: 801-111951
RIA
Registered Investment Advisory firm - (10/27/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5107 Center Street B1, Williamsburg, VA 23188
Mailing Address
Po Box 6117, Williamsburg, VA 23188
Phone number
(757) 259-2450
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 846 |
| AUM (Assets Under Management) | $ 272,555,910 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
