Lewis J. Lucarine
Professional summary
Lewis Joseph Lucarine was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lewis Joseph Lucarine, who also goes by Joe Lucarine, was a registered financial advisor .
Lewis is a previously registered financial advisor and started their career in finance in 2002. Lewis had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2015 - November 19, 2015
STATE FARM VP MANAGEMENT CORP.
October 25, 2011 - June 29, 2012
MORGAN STANLEY
October 18, 2011 - June 29, 2012
MORGAN STANLEY
August 31, 2009 - April 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2009 - April 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2007 - August 31, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 22, 2006 - August 31, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 15, 2002 - February 24, 2006
EDWARD JONES
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
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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