David A. Lucca
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 Alan Lucca was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2013 - July 1, 2014
SMITH ANGLIN FINANCIAL, LLC
May 28, 1998 - October 15, 2013
RHOADS LUCCA CAPITAL MANAGEMENT, 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
SMITH ANGLIN FINANCIAL, LLC
CRD#: 144386 / SEC#: 801-68157
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,824 |
| AUM (Assets Under Management) | $ 2,011,723,719 |
Red Flags
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