Lucas Ward
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.
Lucas Ward was a registered financial professional .
Lucas is a previously registered financial professional and started their career in finance in 1994. Lucas had worked at 6 firms and has passed the Series 63, Series 86, Series 87, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2023 - September 15, 2026
ASCENDIANT CAPITAL MARKETS, LLC
May 5, 2004 - November 1, 2004
W.R. HAMBRECHT + CO., LLC
May 1, 2001 - October 2, 2001
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
March 18, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
July 22, 1996 - March 2, 1999
GOLDMAN SACHS & CO. LLC
July 20, 1994 - January 16, 1996
HAMBRECHT & QUIST LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
What does exam status mean?
Current Firm
ASCENDIANT CAPITAL MARKETS, LLC
CRD#: 152912 / SEC#: , 8-68487
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 10 |
Red Flags
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