LC
Lucien E. Craig
UNITED ADVISORS AMERICA
Fulshear, TX
Some features on this profile are disabled
CRD#: 1785449
LC
Professional summary
Lucien Eugene Craig, who also goes by Gene Craig, is a registered financial advisor currently at UNITED ADVISORS AMERICA located in Fulshear, Texas.
Lucien is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Lucien has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gene Craig
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.
Alliance America Corporation, Insurance Agent, University park, FL, 5/2019, 40 hours per week during trading hours.
(1) 11/06/2014: LEVEL FOUR INSURANCE SERVICES - INV REL - 35303 COOPER RD UNIT 34, BROOKSHIRE, TX 77423-9320 - NON-VARIABLE INSURANCE - START 10/24/14 - 10 HR/MO ALL DURING SECS TRDG HRS - AGENT: LIFE, HEALTH, DISABILITY, FIXED ANNUITIES
(2) 12/01/2014: LEVEL FOUR ADVISORY SERVICES LLC - INV REL - 35303 COOPER RD UNIT 34, BROOKSHIRE, TX 77423-9320 - REGISTERED INVESTMENT ADVISOR HYBRID: LEVEL FOUR ADVISORY SERVICES LLC - START 10/22/2014 - 80 HR/MO 45 DURING SECS TRDG HRS - PROVIDE FINANCIAL PLANS AND/OR ADVICE FOR AN HOURLY AND/OR FIXED FEES.
(3) 01/02/2015: LEVEL FOUR WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 12/30/2014 - 160 HR/MO 100 DURING SECS TRDG HRS
CRS (Client Relationship Summary) - RIA
Click below to view Lucien Eugene Craig'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®
NoneExperience
Current
June 20, 2019 - Present
UNITED ADVISORS AMERICA
RIA
CRD#: 147350
Fulshear, TX
Past
October 31, 2014 - February 8, 2017
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
HOUSTON, TX
Past
March 7, 2011 - November 2, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
March 1, 2011 - March 2, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOUSTON, TX
Past
March 1, 2011 - February 22, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
August 5, 2010 - March 2, 2011
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
PEARLAND, TX
Past
August 5, 2010 - March 2, 2011
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
PEARLAND, TX
Past
April 9, 2009 - May 3, 2010
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
KATY, TX
Past
April 3, 2009 - May 3, 2010
OSAIC FS, INC.
BD
CRD#: 3870
KATY, TX
Past
April 6, 2006 - April 2, 2009
LBMZ SECURITIES, INC.
BD
CRD#: 7874
CHICAGO, IL
Past
February 7, 2006 - April 2, 2009
ZACKS INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110897
CHICAGO, IL
Past
July 2, 2001 - December 14, 2005
FISHER INVESTMENTS
RIA
CRD#: 107342
KATY, TX
Past
June 25, 1999 - March 7, 2001
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
Past
February 8, 1994 - August 19, 1998
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
May 12, 1992 - September 14, 1992
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 12, 1992 - September 14, 1992
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 5, 1989 - December 31, 1990
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
September 15, 1988 - December 13, 1988
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
Past
May 13, 1988 - September 19, 1988
INDEPENDENT INVESTMENT BROKERS OF AMERICA
BD
CRD#: 20635
Past
February 23, 1988 - April 16, 1988
CAPITAL FIRST SECURITIES, INC.
BD
CRD#: 16429
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".
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 Terminated)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
Texas(6/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UA
UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA | UNITED ADVISORS CORPORATION | UNITED ADVISORS AMERICA CORPORATION
CRD#: 147350 / SEC#: 801-114134
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)Arizona
Registered Investment Advisory firm - (12/31/2010 Terminated)Arkansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Florida
Registered Investment Advisory firm - (8/23/2015 Terminated)Georgia
Registered Investment Advisory firm - (10/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (10/17/2018 Terminated)Indiana
Registered Investment Advisory firm - (6/20/2011 Terminated)Iowa
Registered Investment Advisory firm - (11/1/2018 Terminated)Kansas
Registered Investment Advisory firm - (10/29/2018 Terminated)Kentucky
Registered Investment Advisory firm - (10/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (10/30/2018 Terminated)Missouri
Registered Investment Advisory firm - (10/29/2018 Terminated)North Carolina
Registered Investment Advisory firm - (10/30/2018 Terminated)Ohio
Registered Investment Advisory firm - (10/30/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (10/29/2018 Terminated)Oregon
Registered Investment Advisory firm - (2/27/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/30/2018 Terminated)Tennessee
Registered Investment Advisory firm - (11/1/2018 Terminated)Texas
Registered Investment Advisory firm - (10/29/2018 Terminated)Virginia
Registered Investment Advisory firm - (10/30/2018 Terminated)Washington
Registered Investment Advisory firm - (1/28/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (10/29/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
290 S Preston Road Suite 220, Prosper, TX 75078
Mailing Address
Phone number
(877) 443-0610
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,625 |
| AUM (Assets Under Management) | $ 353,695,420 |
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.
