Michael L. Lucas

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CRD#: 1907173

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.

Michael Leon Lucas was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 19, 2016 - May 9, 2017

CAMPBELL NEWMAN ASSET MANAGEMENT INC

RIA

CRD#: 107003

GLENDALE, WI

Past

November 5, 2011 - August 14, 2015

AON SECURITIES LLC

CRD#: 4138

CHICAGO, IL

Past

September 24, 2002 - July 18, 2005

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

July 21, 1998 - July 11, 2000

MILLENNIUM CAPITAL LLC

CRD#: 35895

WOODSTOCK, IL

Past

November 11, 1992 - July 1, 1996

PRYOR, COUNTS & CO., INC.

CRD#: 11002

PHILADELPHIA, PA

Past

March 21, 1989 - February 13, 1990

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

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".

CAMPBELL NEWMAN ASSET MANAGEMENT INC

CRD#: 107003 / SEC#: 801-8825

RIA

Registered Investment Advisory firm - (8/26/1972 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2011

General Securities Representative Examination

Current Firm

CAMPBELL NEWMAN ASSET MANAGEMENT INC

CRD#: 107003 / SEC#: 801-8825

RIA

Registered Investment Advisory firm - (8/26/1972 Approved)

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Contact information

Main Address

330 East Kilbourn Avenue Suite 1125, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 908-6670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,382
AUM (Assets Under Management)	$ 1,285,363,650

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.

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Advisor Monitoring

Firm Stability Insights

Michael L. Lucas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AON SECURITIES LLC

NORTHERN TRUST SECURITIES, INC.

MILLENNIUM CAPITAL LLC

PRYOR, COUNTS & CO., INC.

BNY MELLON CAPITAL MARKETS, LLC

Primary Firm SEC Registration

CAMPBELL NEWMAN ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2016

Series 63

Date: 12/19/2011

SIE

Date: 8/14/2015

Series 7

Date: 11/4/2011

Current Firm

CAMPBELL NEWMAN ASSET MANAGEMENT INC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAMPBELL NEWMAN ASSET MANAGEMENT INC

TRUST BUT VERIFY

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