Albert W. Lucier

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CRD#: 313974

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.

Albert Wayne Lucier was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1969. Albert had worked at 8 firms and has passed the Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

May 6, 2011 - December 6, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HINGHAM, MA

Past

January 7, 1987 - May 9, 2011

CADARET, GRANT & CO., INC.

CRD#: 10641

HINGHAM, MA

Past

February 6, 1986 - January 28, 1987

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

October 21, 1982 - September 19, 1984

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

Past

October 2, 1981 - August 20, 1982

MBA EQUITY INVESTMENT CORPORATION

CRD#: 7911

Past

May 15, 1978 - December 9, 1981

FINANCIAL CONSULTANTS, INC.

CRD#: 1819

Past

March 30, 1972 - February 27, 1977

THE FIRST BUFFALO CORPORATION

CRD#: 300

Past

September 11, 1969 - February 28, 1972

C. H. WAGNER & CO., INC.

CRD#: 122

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".

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 1

Date: 7/11/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/13/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363 / SEC#: 801-28543, 8-16791

RIA

Registered Investment Advisory firm - SEC (12/5/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

9013rd Avenue South, Minneapolis, MN 55402

Mailing Address

5221 Ameriprise Financial Center, Minneapolis, MN 55474

Phone number

(612) 671-3131

Established

Delaware since 06/14/1971

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

14,000

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AMERIPRISE MANAGED ACCOUNTS (9/26/2025)

AMERIPRISE MANAGED ACCOUNTS AND FINANCIAL PLANNING SERVICE (9/26/2025)

AMERIPRISE PREMIER RETIREMENT INCOME (7/25/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - LIMITED CONSULTING SERVICES SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - DIVORCE FINANCIAL ANALYSIS SUPPLEMENT (3/28/2025)

AMERIPRISE RETIREMENT PLAN CONSULTING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES - FLEXIBLE SERVICE SUPPLEMENT (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICES (3/28/2025)

AMERIPRISE FINANCIAL PLANNING SERVICE - CONSULTING SERVICE SUPPLEMENT (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AMPF HOLDING, LLC	SHAREHOLDER
DOREN, MITCHELL DAVID	REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER)	2129844
FLEMING, JOSEPH DANIEL	SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	2093776
MATTOX, MICHAEL SCOTT	VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER	4383501
O'CONNELL, PATRICK HUGH	DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT	2246285
SENNE, ANN MARIE	EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS	2515669
SWEENEY, JOSEPH EDWARD	PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER	4668713
WILLIAMS, WILLIAM JERRYL	EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER	1954117

Regulatory assets under management

Total Number of Accounts	2,281,153
AUM (Assets Under Management)	$ 564,622,896,919

Disclosures

Regulatory Event	79
Civil Event	1
Arbitration	103

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/19/2025	Cover Page	Report
09/23/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/16/2022	Cover Page	Report

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.

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Firm Stability Insights

Albert W. Lucier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CADARET, GRANT & CO., INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

MBA EQUITY INVESTMENT CORPORATION

FINANCIAL CONSULTANTS, INC.

THE FIRST BUFFALO CORPORATION

C. H. WAGNER & CO., INC.

Primary Firm SEC Registration

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 1

Date: 7/11/1967

Series 26

Date: 5/13/1997

Current Firm

AMERIPRISE FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

AMERIPRISE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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