Michael T. Lucey

LUCEY WEALTH ADVISORS LLC

Sebastopol, CA

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CRD#: 3260632

Professional summary

Michael Thomas Lucey is a registered financial advisor currently at LUCEY WEALTH ADVISORS LLC located in Sebastopol, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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) 08/2013 - PRESENT, LUCEY WEALTH ADVISORS, 1129 INDUSTRIAL AVE STE 102 PETALUMA, CA 94952, OWNER/INSURANCE SALES, 80HRS/MONTH DURING both trading and non trading hours. FIXED INSURANCE THROUGH VARIOUS INSURANCE COMPANIES. Alternative investments are offered through various providers

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Lucey'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®

None

Experience

Current

December 9, 2021 - Present

LUCEY WEALTH ADVISORS LLC

RIA

CRD#: 317601

Sebastopol, CA

Past

April 19, 2018 - December 8, 2021

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

Petaluma, CA

Past

January 4, 2017 - April 19, 2018

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Petaluma, CA

Past

November 29, 2016 - December 12, 2016

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Petaluma, CA

Past

May 21, 2015 - December 27, 2016

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Petaluma, CA

Past

June 25, 2014 - October 28, 2014

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SANTA ROSA, CA

Past

November 9, 2010 - March 12, 2015

NI ADVISORS

CRD#: 134502

MILPITAS, CA

Past

October 25, 2007 - December 4, 2008

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

May 11, 2007 - September 10, 2007

IFMG SECURITIES, INC.

CRD#: 14416

NOVATO, CA

Past

January 11, 2006 - January 17, 2007

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WEST CHESTER, PA

Past

March 31, 2004 - January 12, 2006

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 29, 2000 - May 15, 2003

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

August 31, 1999 - May 10, 2000

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

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.

Highlighted states indicate IAR registrations

IAR

California
(12/9/2021)

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

State Security Law Exam

IAR

Series 66

Date: 11/15/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/30/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/15/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

LUCEY WEALTH ADVISORS LLC

CRD#: 317601 / SEC#:

California

Registered Investment Advisory firm - (12/9/2021 Approved)

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Contact information

Main Address

Sebastopol, CA

Mailing Address

Phone number

(707) 217-0774

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 10,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/16/2024	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael T. Lucey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Thomas Lucey's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH WATCH ADVISORS, INC

BROOKSTONE CAPITAL MANAGEMENT LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

CAPITAL FINANCIAL SERVICES, INC.

PORTSMOUTH FINANCIAL SERVICES

NI ADVISORS

ALLIANZ LIFE FINANCIAL SERVICES, LLC

IFMG SECURITIES, INC.

SLD AMERICA EQUITIES, INC.

CITICORP INVESTMENT SERVICES

FARMERS FINANCIAL SOLUTIONS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2016

Series 63

Date: 9/1/1999

SIE

Date: 12/27/2016

Series 7

Date: 9/22/2004

Series 6

Date: 8/30/1999

Series 24

Date: 10/29/2004

Series 26

Date: 9/15/2000

Current Firm

LUCEY WEALTH ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LUCEY WEALTH ADVISORS LLC

TRUST BUT VERIFY

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