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LW

Lucas Ward

ASCENDIANT CAPITAL MARKETS
Manteca, CA
Some features on this profile are disabled
CRD#: 2465414
LW

Professional summary

Lucas Ward is a registered financial professional currently at ASCENDIANT CAPITAL MARKETS, LLC located in Manteca, California.

Lucas is registered as a RR (Registered Representative) and started their career in finance in 1994. Lucas has worked at 6 firms and has passed the Series 63, Series 86, Series 87, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lucas Ward's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 1, 2023 - Present

ASCENDIANT CAPITAL MARKETS, LLC

BD
CRD#: 152912
Manteca, CA
Past

May 5, 2004 - November 1, 2004

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

May 1, 2001 - October 2, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 5, 2001 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 18, 1999 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

July 22, 1996 - March 2, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 20, 1994 - January 16, 1996

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Washington
(1/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 12/27/2022
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 12/18/2022
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
SIE
Date: 8/9/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASCENDIANT CAPITAL MARKETS, LLC
ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912 / SEC#: , 8-68487

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
110 Front Street, Suite 300, Jupiter, FL 33477
Mailing Address
4 Park Plaza, Suite 1950, Irvine, CA 92614
Phone number
(949) 259-4900
Established
Nevada since 01/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ASCENDIANT CAPITAL PARTNERS, LLCPARENT CO / SOLE MEMBER
BERGENDAHL, MARK ALLANPRESIDENT1394272
BROWN, MICHAEL OWENCFO/ FINOP1658070
MEGENITY, BRIAN MCDONALDCCO2889637
WILHITE, BRADLEYCHIEF OPERATING OFFICER4722291

Disclosures

Regulatory Event10

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.

Company Information

ASCENDIANT CAPITAL MARKETS, LLC

CRD#: 152912Manteca, CA

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