George H. Lucker
Professional summary
George Henry Lucker III was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George Henry Lucker III was a registered financial advisor .
George is a previously registered financial advisor and started their career in finance in 1996. George had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2006 - April 21, 2010
WELLS FARGO INVESTMENTS, LLC
September 15, 2006 - April 21, 2010
WELLS FARGO INVESTMENTS, LLC
January 7, 2002 - September 28, 2006
CITIGROUP GLOBAL MARKETS INC.
December 14, 2001 - September 28, 2006
CITIGROUP GLOBAL MARKETS INC.
November 5, 1999 - January 29, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 22, 1997 - November 30, 1999
SII INVESTMENTS, INC.
September 13, 1996 - May 5, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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