Paul R. Lukas
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.
Paul Robert Lukas, who also goes by Lukas, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 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 31, 2012 - December 31, 2016
CANTELLA & CO., INC.
January 31, 2012 - December 31, 2016
CANTELLA & CO., INC.
July 5, 2007 - January 31, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
July 5, 2007 - January 31, 2012
PACIFIC WEST SECURITIES, INC.
October 14, 2005 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
September 21, 2005 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
July 8, 1997 - August 29, 2005
MORGAN STANLEY DW INC.
January 3, 1996 - August 29, 2005
MORGAN STANLEY DW INC.
November 8, 1994 - November 17, 1995
WELLS FARGO SECURITIES INC.
October 5, 1992 - December 14, 1994
VOYA FINANCIAL ADVISORS, INC.
July 25, 1987 - July 6, 1988
CHAPDELAINE & CO. GOVERNMENT SECURITIES, INC.
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
