JL
Jonathan J. Lucas
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES
McKinney, TX
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CRD#: 3164863
JL
Professional summary
Jonathan Jerry Arayata Lucas, who also goes by Jon Lucas, Jonathan Arayata Lucas, Jonathan Jerry Lucas, Jonathan Roderick Lucas, Jonathan Lucas, Jonathan J Lucas, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Mckinney, Texas.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jonathan has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jon Lucas | Jonathan Arayata Lucas | Jonathan Jerry Lucas | Jonathan Roderick Lucas | Jonathan Lucas | Jonathan J Lucas
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc HEARTLAND INSTITUTE OF FINANCIAL EDUCATION/NOT INVESTMENT RELATED/COLLEGE CONSULTANT/2.19.2018/8301 EAST PRENTICE AVE, SUITE 312, GREENWOOD VILLAGE, CO 80111/EDUCATION AND COACHING/PROSPECT FOR CLIENTS; INTRODUCE THE PROGRAM; ENROLL CLIENTS; FOLLOW UP WITH CLIENTS/HOURS.MONTH: 5/HOURS DURING SECURITIES TRADING HOURS:1
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Jerry Arayata Lucas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Jerry Arayata 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
April 12, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #2: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
McKinney, TX
Current
April 12, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3965 Dallas Parkway Frisco Regional, Frisco, TX 75034RIA
BD
CRD#: 20472
Frisco, TX
Past
March 14, 2023 - April 3, 2023
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
Plano, TX
Past
January 31, 2018 - January 19, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PLANO, TX
Past
October 16, 2012 - January 19, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PLANO, TX
Past
July 11, 2008 - November 9, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
NEW ROCHELLE, NY
Past
November 2, 2006 - August 14, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
NEW YORK, NY
Past
April 12, 2002 - August 14, 2007
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
January 1, 1999 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York 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
Alabama(4/12/2023)
RR
Alaska(4/12/2023)
RR
Arizona(4/12/2023)
RR
Arkansas(4/12/2023)
RR
California(4/12/2023)
RR
Colorado(4/12/2023)
RR
Connecticut(4/12/2023)
RR
Delaware(4/12/2023)
RR
District of Columbia(4/12/2023)
RR
Florida(4/12/2023)
RR
Georgia(4/12/2023)
RR
Hawaii(4/12/2023)
RR
Idaho(4/12/2023)
RR
Illinois(4/12/2023)
RR
Indiana(4/12/2023)
RR
Iowa(4/12/2023)
RR
Kansas(4/12/2023)
RR
Kentucky(4/12/2023)
RR
Louisiana(4/12/2023)
RR
Maine(4/12/2023)
RR
Maryland(4/12/2023)
RR
Massachusetts(4/12/2023)
RR
Michigan(4/12/2023)
RR
Minnesota(4/12/2023)
RR
Mississippi(4/12/2023)
RR
Missouri(4/12/2023)
RR
Montana(4/12/2023)
RR
Nebraska(4/12/2023)
RR
Nevada(4/12/2023)
RR
New Hampshire(4/12/2023)
RR
New Jersey(4/12/2023)
RR
New Mexico(4/12/2023)
RR
New York(4/12/2023)
RR
North Carolina(4/12/2023)
RR
North Dakota(4/12/2023)
RR
Ohio(4/13/2023)
RR
Oklahoma(4/12/2023)
RR
Oregon(4/12/2023)
RR
Pennsylvania(4/12/2023)
RR
Rhode Island(4/12/2023)
RR
South Carolina(4/12/2023)
RR
South Dakota(4/12/2023)
RR
Tennessee(4/12/2023)
RR
Texas(4/12/2023)
IAR
Texas(4/12/2023)
RR
Utah(4/12/2023)
RR
Vermont(4/12/2023)
RR
Virginia(4/12/2023)
RR
Washington(4/12/2023)
RR
West Virginia(4/12/2023)
RR
Wisconsin(4/12/2023)
RR
Wyoming(4/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/6/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
730 Third Avenue, New York, NY 10017-3206
Mailing Address
8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500
Phone number
(704) 988-3565
Established
Delaware since 01/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,319
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
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.
