Joanne M. Lucas
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.
Joanne M Lucas, CFP®, who also goes by Joanne Marie Lucas, Joanne Panessa Lucas, Joanne Marie Panessa Mrs., was a registered financial professional .
Joanne is a previously registered financial professional and started their career in finance in 2004. Joanne had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2023 - January 2, 2024
OXFORD FINANCIAL GROUP, LTD
April 4, 2022 - December 5, 2022
RAYMOND JAMES & ASSOCIATES, INC.
March 31, 2022 - December 5, 2022
RAYMOND JAMES & ASSOCIATES, INC.
June 3, 2021 - September 30, 2021
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
May 25, 2021 - September 30, 2021
FIRST REPUBLIC SECURITIES COMPANY, LLC
March 21, 2017 - May 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2017 - May 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2012 - October 13, 2016
STRATEGIC ADVISERS LLC
May 7, 2012 - October 12, 2016
FIDELITY BROKERAGE SERVICES LLC
August 21, 2007 - November 15, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
May 3, 2005 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
November 17, 2004 - August 22, 2007
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
Primary Firm SEC Registration
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
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
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,467 |
| AUM (Assets Under Management) | $ 19,650,381,670 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/16/2025 | ||
| 03/28/2025 | ||
| 03/15/2024 | ||
| 03/24/2023 |
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.
