Daniel K. Lucas

LJI WEALTH MANAGEMENT

Indianapolis, IN 46220

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CRD#: 5019712

Professional summary

Daniel Keith Lucas is a registered financial advisor currently at LJI WEALTH MANAGEMENT, LLC located in Indianapolis, Indiana.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Daniel has worked at 5 firms and has passed the Series 66, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Keith Lucas's CRS (Customer Relationship Summary).

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

August 22, 2014 - Present

LJI WEALTH MANAGEMENT, LLC

Office #1: 6569 Carrollton Avenue, Indianapolis, IN 46220Office #2: 619 Virginia Avenue, Indianapolis, IN 46203

RIA

CRD#: 145399

Indianapolis, IN

Past

November 19, 2012 - May 5, 2014

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

Past

November 17, 2009 - March 31, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

June 21, 2007 - December 1, 2008

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

INDIANAPOLIS, IN

Past

August 26, 2005 - June 20, 2007

OBS BROKERAGE SERVICES, INC.

CRD#: 104281

WHITEHOUSE, OH

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".

LJI WEALTH MANAGEMENT, LLC

CRD#: 145399 / SEC#: 801-77820

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

Florida

Registered Investment Advisory firm - (4/5/2013 Terminated)

Indiana

Registered Investment Advisory firm - (4/5/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(8/22/2014)

IAR

Texas
(12/11/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/20/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/25/2005

General Securities Representative Examination

Current Firm

LJI WEALTH MANAGEMENT, LLC

CRD#: 145399 / SEC#: 801-77820

RIA

Registered Investment Advisory firm - (4/4/2013 Approved)

Florida

Registered Investment Advisory firm - (4/5/2013 Terminated)

Indiana

Registered Investment Advisory firm - (4/5/2013 Terminated)

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Contact information

Main Address

6569 Carrollton Avenue, Indianapolis, IN 46220

Mailing Address

Phone number

(317) 466-9702

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE (4/4/2025)

Regulatory assets under management

Total Number of Accounts	1,613
AUM (Assets Under Management)	$ 1,071,025,683

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/19/2024	Cover Page	Report

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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Daniel K. Lucas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Keith Lucas's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARKLAND SECURITIES, LLC

MORGAN KEEGAN & COMPANY, LLC

THE HUNTINGTON INVESTMENT COMPANY

OBS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

LJI WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2014

Series 63

Date: 7/20/2010

Series 7

Date: 8/25/2005

Current Firm

LJI WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LJI WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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