Benjamin N. Lucas
Professional summary
Benjamin Newton Duke Lucas SR, who also goes by Ben Lucas Sr, Ben Lucas, Benjamin Newton Duke Lucas, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Charlotte, North Carolina.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1995. Benjamin has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Newton Duke Lucas SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 25, 2013 - Present
TRUIST SECURITIES, INC.
Office #1: 214 N Tryon St Fl 14 15, 19, Charlotte, NC, 28202February 28, 2005 - May 23, 2008
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 24, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
July 24, 1995 - April 24, 1996
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/7/2014)
Exams
FINRA
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| 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.
