Joseph A. Lucci
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.
Joseph Anthony Lucci, who also goes by Joseph Anthony Lucci, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 11 firms and has passed the Series 63, 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
March 6, 2012 - August 28, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 23, 2011 - January 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2006 - November 13, 2009
LEGEND SECURITIES, INC.
January 25, 2005 - June 30, 2005
CHASE INVESTMENT SERVICES CORP.
January 15, 2004 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
July 25, 2001 - March 31, 2003
CHASE INVESTMENT SERVICES CORP.
May 5, 1999 - July 13, 2001
WINCHESTER INVESTMENT SECURITIES, INC.
May 4, 1999 - May 26, 1999
EMERSON BENNETT & ASSOCIATES
August 12, 1997 - September 3, 1998
J.P. TURNER & COMPANY, L.L.C.
December 10, 1996 - August 12, 1997
ARGENT SECURITIES, INC.
July 26, 1996 - November 27, 1996
CASTLE SECURITIES CORP.
January 25, 1995 - September 12, 1996
J.W. BARCLAY & CO., INC.
December 8, 1994 - February 11, 1995
S. D. COHN & CO., 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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| 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.
