Christopher P. Lucey
Professional summary
Being a previously registered professional could mean that this person 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.
Christopher Philip Lucey was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1965. Christopher had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1985 - February 18, 1993
MORGAN STANLEY DW INC.
March 1, 1984 - April 17, 1985
TRANSAMERICA FUND DISTRIBUTORS, INC.
July 13, 1982 - January 23, 1984
DIVERSIFIED SECURITIES, INCORPORATED
December 30, 1977 - October 22, 1981
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 16, 1975 - January 30, 1978
AMERICAN CAPITAL MARKETING, INC.
August 27, 1974 - August 11, 1975
PIEDMONT CAPITAL CORPORATION
July 6, 1965 - March 5, 1976
KEMPER FINANCIAL SERVICES, INC.
May 20, 1965 - July 4, 1973
GROWTH PROGRAMS INC
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
Series 1
Date: 2/14/1963
Registered Representative ExaminationCurrent Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
Red Flags
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