Lucien M. Provosty
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.
Lucien Maurice Provosty was a registered financial professional .
Lucien is a previously registered financial professional and started their career in finance in 1969. Lucien had worked at 8 firms and has passed the Series 66, Series 63, SIE, PC, Series 000, Series 1, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2017 - October 1, 2019
BENJAMIN F. EDWARDS & COMPANY, INC.
March 22, 2013 - October 1, 2019
BENJAMIN F. EDWARDS & COMPANY, INC.
January 1, 2008 - March 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
November 16, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
May 22, 1989 - November 10, 2005
CITIGROUP GLOBAL MARKETS INC.
November 4, 1981 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
April 29, 1974 - December 21, 1981
E. F. HUTTON & COMPANY INC
September 24, 1973 - April 20, 1974
THOMSON MCKINNON SECURITIES INC.
October 2, 1972 - November 2, 1973
KOHLMEYER & CO.
April 24, 1969 - November 6, 1972
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 000
Date: 4/21/1969
General Securities Principal ExaminationSeries 1
Date: 4/21/1969
Registered Representative ExaminationSeries 12
Date: 5/4/1985
NYSE Branch Manager ExaminationSeries 00
Date: 12/27/1972
General Securities Principal ExaminationCurrent Firm
BENJAMIN F. EDWARDS & COMPANY, INC.
CRD#: 146936 / SEC#: 801-71421, 8-68023
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BENJAMIN EDWARDS, INC. | OWNER | |
| BAUMANN, NEAL JAMES | DIRECTOR/REGIONAL DIRECTOR | 1480636 |
| BRANDSTADT, TODD HEINRICH | DIRECTOR/DIRECTOR OF BRANCHES | 2631699 |
| DELINIERE, ROLAND HAROLD | DIRECTOR/REGIONAL DIRECTOR | 1038322 |
| EDWARDS, BENJAMIN FRANKLIN | DIRECTOR/ASSISTANT DIRECTOR OF BRANCHES | 6670972 |
| EDWARDS, BENJAMIN FRANKLIN IV | CHAIRMAN/CHIEF EXECUTIVE OFFICER, PRESIDENT | 1061490 |
| FELLOWS, MARK PATTERSON | DIRECTOR/REGIONAL DIRECTOR | 1600661 |
| HANSON, DAVID WILLIAM | DIRECTOR | 715793 |
| KELLER, CHRISTOPHER M | DIRECTOR/DIRECTOR OF OPERATIONS, TECHNOLOGY & ANALYTICS | 4346617 |
| MARTIN, THOMAS HAYDEN JR | DIRECTOR/CHIEF FINANCIAL OFFICER | 1459719 |
| MUCKLER, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER, ADVISORY | 4762147 |
| RUBENSTEIN, DOUGLAS DAVID | DIRECTOR/COO AND DIRECTOR OF CAPITAL MARKETS | 1138380 |
| SALAMON, MATTHEW R | DIRECTOR/CORPORATE SECRETARY & DIRECTOR OF LAW & LEGAL SERVICES, CHIEF COUNSEL | 1858581 |
| STEVENS, KATELYN CLARE | CHIEF COMPLIANCE OFFICER, BROKERAGE | 5752247 |
| WELKER, JOANNE MARIE | DIRECTOR/MANAGER ADVISORY SERVICES | 2300075 |
| WHITING, CHRISTOPHER MARK | DIRECTOR OF FINANCIAL STRATEGIES GROUP | 2242513 |
| WISDOM, BILLY JOE | DIRECTOR/DIRECTOR OF REGULATORY & OVERSIGHT SERVICES | 1810908 |
Regulatory assets under management
| Total Number of Accounts | 49,475 |
| AUM (Assets Under Management) | $ 15,656,482,908 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/20/2023 | ||
| 10/28/2022 |
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.
