Elmer D. 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.
Elmer Douglas Lucas, who also goes by Doug E Lucas, Doug Lucas, Douglas E Lucas Jr, was a registered financial professional .
Elmer is a previously registered financial professional and started their career in finance in 1991. Elmer had worked at 8 firms and has passed the Series 63, Series 3, Series 7 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
October 2, 2009 - March 5, 2013
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
September 29, 2009 - March 5, 2013
WELLS FARGO SECURITIES, LLC
July 27, 1999 - June 16, 2008
J.P. MORGAN SECURITIES LLC
August 7, 1998 - March 17, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 3, 1994 - May 1, 1995
FIRST UNION CAPITAL MARKETS CORP.
May 1, 1991 - March 25, 1994
LEHMAN SPECIAL SECURITIES INC.
May 1, 1991 - March 25, 1994
LEHMAN GOVERNMENT SECURITIES INC.
May 1, 1991 - March 25, 1994
LEHMAN BROTHERS 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
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
