David A. Lucius
Professional summary
David Allen Lucius is a registered financial advisor currently at THE O.N. EQUITY SALES COMPANY located in Garland, Texas.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Allen Lucius's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 9, 2012 - Present
THE O.N. EQUITY SALES COMPANY
February 27, 2012 - April 26, 2012
ON INVESTMENT MANAGEMENT CO
August 5, 1996 - December 31, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 5, 1996 - December 31, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/28/2012)
Exams
FINRA
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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