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Milton Hayes Luce Jr

CRD# 313927·Registered 1966 - 2006
Previously Registered: Being a previously registered professional could mean that Milton is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Milton Hayes Luce JR, who also goes by Milton H Luce Jr, was a registered financial advisor. Milton was a previously registered financial advisor and started their career in finance 1966 - 2006. Milton had worked at 5 firms and has passed the Series 4 and Series 12 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Milton H Luce Jr

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

60 years in the financial services industry

Current & Past Employments

MILTON LUCE COMPANY·CRD# 114034
RIA
Leawood, KS
June 11, 1997 - October 17, 2006
GS2 SECURITIES, INC.·CRD# 14745
BD
December 14, 1990 - November 19, 1991
UNDERWOOD, NEUHAUS & CO., INCORPORATED·CRD# 839
BD
September 2, 1988 - April 4, 1989
LM CONSOLIDATED FINANCIAL CORP.·CRD# 789
BD
April 13, 1983 - September 27, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
BD
September 8, 1966 - February 25, 1983

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 4 — Registered Options Principal Examination

Passed Feb 1981About the Series 4 exam

Series 12 — NYSE Branch Manager Examination

Passed Apr 1967

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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