Lucien Sanchez

WEALTH MANAGEMENT SERVICES

SARASOTA, FL

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CRD#: 2698092

Professional summary

Lucien Sanchez is a registered financial advisor currently at WEALTH MANAGEMENT SERVICES INC. located in Sarasota, Florida.

Lucien is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Lucien has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Financial & Business Consulting, LLC; Investment Related; 3666 Torrey Pines Way, Sarasota, FL, 34238; Business Consulting; Principal & Manager; since 01/2017; approximately 10 hours/mo with approximately 10 hours/mo during securities trading hours; provides consulting pertaining to various business and financial issues.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucien Sanchez's 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

October 18, 2018 - Present

WEALTH MANAGEMENT SERVICES INC.

RIA

CRD#: 164379

SARASOTA, FL

Past

August 2, 2012 - October 26, 2016

SB ADVISORY, LLC

RIA

CRD#: 154680

SARASOTA, FL

Past

July 9, 2012 - October 26, 2016

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

September 8, 2010 - April 24, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SARASOTA, FL

Past

August 27, 2010 - April 24, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SARASOTA, FL

Past

June 1, 2009 - September 14, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SARASOTA, FL

Past

June 1, 2009 - September 14, 2010

MORGAN STANLEY

CRD#: 149777

SARASOTA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SARASOTA, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SARASOTA, FL

Past

June 20, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SARASOTA, FL

Past

June 17, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SARASOTA, FL

Past

February 22, 2001 - June 30, 2005

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

SARASOTA, FL

Past

February 21, 2001 - June 30, 2005

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 25, 1996 - February 27, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 25, 1996 - February 27, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/18/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/24/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTH MANAGEMENT SERVICES INC.

CRD#: 164379 / SEC#:

Florida

Registered Investment Advisory firm - (6/18/2012 Approved)

Puerto Rico

Registered Investment Advisory firm - (12/27/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Sarasota, FL

Mailing Address

Phone number

(941) 355-7960

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 2,800,679

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Lucien Sanchez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucien Sanchez's CRS (Customer Relationship Summary).

Certified licenses

Experience

SB ADVISORY, LLC

IFS SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2005

Series 63

Date: 1/24/1996

SIE

Date: 10/26/2016

Series 7

Date: 12/16/1999

Series 6

Date: 1/24/1996

Current Firm

WEALTH MANAGEMENT SERVICES INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTH MANAGEMENT SERVICES INC.

TRUST BUT VERIFY

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