DL
David G. Lucas
STIFEL, NICOLAUS & COMPANY
Macon, GA 31201
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CRD#: 313827
DL
Professional summary
David Grice Lucas is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Macon, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. David has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 1, Series 10, Series 27, Series 53, Series 9, Series 8, F04 and Series 40 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.
1. ESSEX PARTNERS, GENERAL PARTNERSHIP; 389 MULBERRY ST. MACON GA 31201; REAL ESTATE PARTNERSHIP FORMED TO DEVELOP A OFFICE BUILDING AT 389 MULBERRY ST. MACON GA; PARTNER; AFFILIATION STARTED 11/01/1985; 2 HOURS PER YEAR; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED.
2. CYPRESS LAKE CLUB; 101 COVINGTON DR. MACON GA 31210; SOCIAL FISHING CLUB; PRESIDENT; HAVE 15 MEMBERS; PRESIDE OVER ANNUAL MEMBER MEETINGS; AFFILIATION STARTED 05/01/1991; 1 HOUR PER QUARTER; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view David Grice Lucas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Grice Lucas'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®
NoneExperience
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 577 Mulberry Street, Suite 1200 Pob 4783 & 4707, Macon, GA 31201RIA
BD
CRD#: 793
Macon, GA
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 577 Mulberry Street, Suite 1200 Pob 4783 & 4707, Macon, GA 31201RIA
BD
CRD#: 793
Macon, GA
Past
March 15, 2005 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
September 16, 2003 - January 3, 2007
STERNE, AGEE & LEACH, INC.
RIA
CRD#: 791
MACON, GA
Past
September 12, 2003 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
MACON, GA
Past
June 15, 2002 - September 24, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MACON, GA
Past
June 15, 2002 - September 24, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 21, 1997 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
May 26, 1993 - August 14, 1996
WARD BRADFORD & CO., L.P.
BD
CRD#: 31186
ATLANTA, GA
Past
April 2, 1990 - August 1, 1997
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
September 30, 1987 - September 5, 1990
ESSEX FINANCIAL SERVICES, INC.
BD
CRD#: 19627
MONTGOMERY, AL
Past
May 2, 1978 - April 12, 1990
ESSEX COMPANY
BD
CRD#: 7598
Past
April 2, 1970 - June 6, 1978
THORNTON FARISH INC.
BD
CRD#: 830
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(7/7/2015)
RR
Georgia(7/7/2015)
IAR
Georgia(7/7/2015)
RR
Idaho(7/7/2015)
RR
Illinois(7/7/2015)
RR
Missouri(9/15/2021)
RR
New York(6/3/2023)
RR
North Carolina(7/7/2015)
RR
South Carolina(7/7/2015)
RR
Tennessee(7/7/2015)
RR
Texas(12/20/2023)
IAR
Texas(12/20/2023)
RR
Virginia(7/7/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/25/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
RR
F04
Date: 3/22/1978
Financial Principal ExaminationPrincipal/Supervisory Exam
RR
Series 40
Date: 7/21/1976
Registered Principal ExaminationSRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
