David O. Lucas
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.
David Oneil Lucas was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2005 - March 8, 2017
HAITONG INTERNATIONAL SECURITIES (USA) INC.
May 16, 2001 - January 24, 2003
DAIWA CAPITAL MARKETS AMERICA INC.
April 30, 2001 - June 6, 2001
ING FINANCIAL MARKETS LLC
May 15, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
February 19, 1998 - May 31, 2000
ABN AMRO INCORPORATED
October 21, 1996 - January 23, 1998
BARCLAYS CAPITAL INC.
January 10, 1995 - June 10, 1996
ING BARING (U.S.) SECURITIES, INC.
February 14, 1991 - December 7, 1994
YAMAICHI INTERNATIONAL (AMERICA) 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
HAITONG INTERNATIONAL SECURITIES (USA) INC.
CRD#: 132201 / SEC#: , 8-66566
Contact information
FINRA licenses (25 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| BASILOTTA, SILVIA GRACIELA | FINANCIAL OPERATIONS PRINCIPAL | 1201948 |
| CHOU, CHUK NAM | BOARD OF DIRECTORS MEMBER | 7755974 |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER | 1554301 |
| SHI, PING | BOARD OF DIRECTORS MEMBER | 7030173 |
| WU, YAN | DEPUTY CEO, BOARD OF DIRECTORS MEMBER | 3120765 |
| YE, WEILU | CEO, BOARD OF DIRECTORS MEMBER | 7205185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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