ML
Michael W. Lucas
CETERA INVESTMENT ADVISERS LLC
NORTH HAVEN, CT 06473
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CRD#: 4864231
ML
Professional summary
Michael Wayne Lucas is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in North Haven, Connecticut and CETERA INVESTMENT SERVICES LLC located in North Haven, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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.) NEW VIEW WEALTH MANAGEMENT LLC, DBA FOR CETERA BUSINESS, 41% OWNER
CRS (Client Relationship Summary) - RIA
Click below to view Michael Wayne 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
June 19, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 127 Washington Ave 2nd Floor West, North Haven, CT 06473RIA
CRD#: 105644
NORTH HAVEN, CT
Current
June 19, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 127 Washington Ave 2nd Floor West, North Haven, CT 06473BD
CRD#: 15340
North Haven, CT
Past
September 27, 2012 - June 24, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
NORTH HAVEN, CT
Past
November 22, 2004 - June 24, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
NORTH HAVEN, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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(8/15/2023)
RR
Arizona(9/23/2021)
RR
Arkansas(12/3/2024)
RR
California(8/20/2020)
RR
Colorado(6/19/2019)
RR
Connecticut(6/19/2019)
IAR
Connecticut(6/19/2019)
RR
Delaware(11/16/2020)
RR
District of Columbia(4/19/2022)
RR
Florida(6/19/2019)
RR
Georgia(7/21/2020)
RR
Illinois(5/8/2025)
RR
Kentucky(1/29/2021)
RR
Maine(9/13/2024)
RR
Maryland(1/12/2021)
RR
Massachusetts(1/20/2021)
RR
Michigan(6/19/2019)
RR
New Hampshire(6/19/2019)
RR
New Jersey(6/19/2019)
RR
New York(6/19/2019)
RR
North Carolina(8/6/2020)
RR
Ohio(4/20/2022)
RR
Pennsylvania(11/25/2024)
RR
South Carolina(6/19/2019)
RR
Tennessee(5/22/2025)
RR
Texas(10/28/2020)
IAR
Texas(10/29/2020)
RR
Vermont(6/19/2019)
RR
Virginia(8/12/2021)
RR
Washington(6/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644North Haven, CT 06473TRUST BUT VERIFY
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