Luci A. Harty
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.
Luci Agnes/franckowiak Harty, who also goes by Luci Cantou, Lucille A F Cantu, Luci Franckowiak Eaves, Luci Eaves, Lucille A F Eaves, Lucille F Eaves, Lucille Franckowiak Eaves, Luci Franckowiak, Lucille Agnes Franckowiak, Luci Franckowiak Agnes Harty, Lucille Agnes Franckowiak Harty, Luci A.f. Harty, was a registered financial professional .
Luci is a previously registered financial professional and started their career in finance in 1990. Luci had worked at 15 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2018 - July 24, 2019
FINANCIAL LIFE ADVISORS
February 13, 2014 - May 8, 2015
FIDUCIARY DOCTORS OF SAN ANTONIO
August 29, 2013 - January 23, 2014
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
August 29, 2013 - January 23, 2014
CAPITAL GUARDIAN, LLC
December 9, 2011 - August 27, 2013
FFEC WEALTH PARTNERS LLC
December 9, 2011 - August 27, 2013
FFEC WEALTH PARTNERS LLC
July 2, 2010 - December 15, 2011
AMERITAS INVESTMENT COMPANY, LLC
July 1, 2010 - December 15, 2011
AMERITAS INVESTMENT COMPANY, LLC
February 18, 2009 - June 3, 2010
SWBC INVESTMENT COMPANY
February 18, 2009 - June 3, 2010
SWBC INVESTMENT SERVICES, LLC
July 14, 2006 - February 20, 2009
INVESTMENT PROFESSIONALS, INC.
July 14, 2006 - February 20, 2009
INVESTMENT PROFESSIONALS, INC.
April 26, 2005 - July 18, 2006
MSI FINANCIAL SERVICES, INC.
March 28, 2005 - July 18, 2006
METROPOLITAN LIFE INSURANCE COMPANY
March 28, 2005 - July 18, 2006
MSI FINANCIAL SERVICES, INC.
January 13, 2000 - March 31, 2005
USAA INVESTMENT SERVICES COMPANY
January 13, 2000 - March 31, 2005
USAA INVESTMENT SERVICES COMPANY
March 12, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 12, 1996 - June 4, 1999
SIGNATOR INVESTORS, INC.
October 27, 1995 - March 8, 1996
VOYA FINANCIAL ADVISORS, INC.
October 22, 1990 - January 17, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 22, 1990 - January 17, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
FINANCIAL LIFE ADVISORS
CRD#: 128502 / SEC#: 801-111024
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
FINANCIAL LIFE ADVISORS
CRD#: 128502 / SEC#: 801-111024
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 752 |
| AUM (Assets Under Management) | $ 366,325,843 |
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.
