Melanie F. Lucas

NATWEST MARKETS SECURITIES

Stamford, CT 06901

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CRD#: 4502359

Professional summary

Melanie Ferrari Lucas, who also goes by Melanie Kathryne Ferrari, Melanie Kathryn Ferrari, Melanie Lucas, Melanie Ferrari Lucas, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Melanie is registered as a RR (Registered Representative) and started their career in finance in 2002. Melanie has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Melanie Kathryne Ferrari | Melanie Kathryn Ferrari | Melanie Lucas | Melanie Ferrari 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Melanie Ferrari 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®

None

Experience

Current

March 24, 2025 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901

CRD#: 11707

Stamford, CT

Past

October 22, 2014 - November 22, 2017

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 28, 2012 - October 10, 2014

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

March 16, 2011 - November 10, 2011

BLOOMBERG TRADEBOOK LLC

CRD#: 40881

NEW YORK, NY

Past

January 8, 2008 - September 8, 2009

TRADEWEB LLC

CRD#: 42759

JERSEY CITY, NJ

Past

May 9, 2007 - October 25, 2007

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

CENTENNIAL, CO

Past

April 2, 2003 - March 2, 2007

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

April 26, 2002 - August 13, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

April 8, 2002 - August 13, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(4/2/2025)

Alaska
(4/2/2025)

Arizona
(4/4/2025)

Arkansas
(4/2/2025)

California
(4/2/2025)

Colorado
(3/25/2025)

Connecticut
(3/26/2025)

Delaware
(4/2/2025)

District of Columbia
(3/25/2025)

Florida
(3/25/2025)

Georgia
(4/2/2025)

Idaho
(3/25/2025)

Illinois
(4/2/2025)

Indiana
(4/2/2025)

Iowa
(4/2/2025)

Kansas
(4/2/2025)

Kentucky
(4/2/2025)

Louisiana
(3/25/2025)

Maryland
(3/25/2025)

Massachusetts
(4/2/2025)

Michigan
(4/2/2025)

Minnesota
(4/2/2025)

Mississippi
(4/2/2025)

Missouri
(4/2/2025)

Montana
(4/2/2025)

Nebraska
(4/2/2025)

Nevada
(4/2/2025)

New Hampshire
(4/2/2025)

New Jersey
(4/2/2025)

New Mexico
(4/2/2025)

New York
(4/2/2025)

North Carolina
(4/2/2025)

North Dakota
(4/2/2025)

Ohio
(4/3/2025)

Oklahoma
(4/2/2025)

Oregon
(4/2/2025)

Pennsylvania
(4/2/2025)

Rhode Island
(4/2/2025)

South Carolina
(4/2/2025)

South Dakota
(4/2/2025)

Tennessee
(4/2/2025)

Texas
(4/2/2025)

Utah
(4/2/2025)

Vermont
(4/2/2025)

Virginia
(4/2/2025)

Washington
(4/2/2025)

West Virginia
(4/2/2025)

Wisconsin
(4/2/2025)

Wyoming
(4/2/2025)

Exams

State Security Law Exam

Series 63

Date: 4/2/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/25/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/24/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/20/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

CRD#: 11707 / SEC#: , 8-37135

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

600 Washington Boulevard, Stamford, CT 06901

Mailing Address

600 Washington Boulevard, Stamford, CT 06901

Phone number

(203) 897-2700

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RBS HOLDINGS USA INC.	SHAREHOLDER
AUSBURN, MICHAEL THOMAS	DIRECTOR / CHIEF FINACIAL OFFICER	2523037
BROWER, LISA	SECRETARY, GENERAL COUNSEL	6177644
BUCCI, MICHELLE A	CHIEF OPERATING OFFICER	5192971
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GIRARD, MICHELLE COLLEY	PRESIDENT / CHIEF EXECUTIVE OFFICER	2185240
ROOSE, SCOTT	DIRECTOR	2539705
SPEZZANO, CASEY RYAN	DIRECTOR	4678231

Disclosures

Regulatory Event	43
Civil Event	4

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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Advisor Monitoring

Firm Stability Insights

Melanie F. Lucas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Melanie Ferrari Lucas's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

BNP PARIBAS SECURITIES CORP.

BLOOMBERG TRADEBOOK LLC

TRADEWEB LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/2025

Series 66

Date: 4/25/2002

Series 7TO

Date: 3/24/2025

SIE

Date: 2/20/2025

Series 7

Date: 4/5/2002

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATWEST MARKETS SECURITIES INC.

TRUST BUT VERIFY

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