Alfred A. Lucier

BALANZ CAPITAL USA LLC

CORAL GABLES, FL 33134

Some features on this profile are disabled

CRD#: 2872941

Professional summary

Alfred Arthur Lucier II, who also goes by Alfred Arthur Lucier, Fred Lucier, is a registered financial professional currently at BALANZ CAPITAL USA LLC located in Coral Gables, Florida.

Alfred is registered as a RR (Registered Representative) and started their career in finance in 1997. Alfred has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, Series 7TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alfred Arthur Lucier | Fred Lucier

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alfred Arthur Lucier II'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 3, 2024 - Present

BALANZ CAPITAL USA LLC

Office #1: 2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134

CRD#: 325914

CORAL GABLES, FL

Past

November 13, 2017 - January 14, 2022

ICAPITAL MARKETS LLC

CRD#: 118219

Delray Beach, FL

Past

October 20, 2016 - July 31, 2018

303 ALTERNATIVES, LLC

CRD#: 166675

West Palm Beach, FL

Past

September 16, 2005 - July 11, 2016

INSPEREX LLC

CRD#: 101420

BOCA RATON, FL

Past

September 29, 2003 - August 17, 2005

COUNTRYWIDE SECURITIES CORPORATION

CRD#: 10598

CALABASAS, CA

Past

September 26, 2001 - July 25, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 7, 1999 - July 27, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 12, 1998 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

July 29, 1997 - March 13, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/27/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 8/9/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/8/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 1/29/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/25/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/29/2023

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BALANZ CAPITAL USA LLC

BALANZ CAPITAL | BALANZ CAPITAL USA LLC

CRD#: 325914 / SEC#: , 8-71085

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134

Mailing Address

2811 Ponce De Leon Blvd Suite 710, Coral Gables, FL 33134

Phone number

(786) 687-4066

Established

Florida since 06/06/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BALANZ HOLDINGS US LLC	SOLE MEMBER
GANTER, RICHARD LEO	MANAGING DIRECTOR, PRESIDENT	1528266
GILMAN, ROBERT CRAIG	FINOP	1738412
GONZALES, PHILIPPE ROGER	CCO AMLRO	5667179
HAMANA, KERRY SEISHI	COO	1326963
LUCIER, ALFRED ARTHUR II	MANAGING DIRECTOR, CEO	2872941

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alfred A. Lucier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alfred Arthur Lucier II's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICAPITAL MARKETS LLC

303 ALTERNATIVES, LLC

INSPEREX LLC

COUNTRYWIDE SECURITIES CORPORATION

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2001

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 8/9/2022

SIE

Date: 10/1/2018

Series 3

Date: 4/8/2002

Series 55

Date: 1/29/2002

Series 7

Date: 9/25/2001

Series 4

Date: 8/29/2023

Series 24

Date: 8/9/2022

FINRA

Current Firm

BALANZ CAPITAL USA LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BALANZ CAPITAL USA LLC

TRUST BUT VERIFY

Similar Advisors