Marc D. Lucier
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.
Marc David Lucier was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1994. Marc had worked at 3 firms and has passed the Series 63, SIE, Series 62, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2014 - April 13, 2023
BABCOCK & BROWN SECURITIES LLC
May 24, 2007 - May 3, 2011
DEUTSCHE BANK SECURITIES INC.
November 30, 1994 - June 19, 2002
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 9/17/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
BABCOCK & BROWN SECURITIES LLC
CRD#: 169440 / SEC#: , 8-69368
Contact information
FINRA licenses (16 States and Territories)
Documents
Red Flags
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