LB
Lucas M. Barton
SAGEVIEW ADVISORY GROUP
Soutlake, TX 76092
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CRD#: 5105613
LB
Professional summary
Lucas M Barton, CFP® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Soutlake, Texas.
Lucas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Lucas has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE
START DATE: 9/2018
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 40
BRIEF DESCRIPTION OF DUTIES: ADVISORY REPRESENTATIVE DUTIES, RETIREMENT PLAN CONSULTING
2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 10/2018
APX NUMBER OF HOURS PER WEEK: 2
APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES
CRS (Client Relationship Summary) - RIA
Click below to view Lucas M Barton'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®
CFP®
Start date: 2009
Experience
Current
October 10, 2018 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 550 Reserve St. Ste 150, Soutlake, TX 76092RIA
CRD#: 126777
Soutlake, TX
Past
December 7, 2018 - July 1, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
AUSTIN, TX
Past
October 30, 2008 - September 17, 2018
LOCKTON INVESTMENT ADVISORS, LLC
RIA
CRD#: 144133
DALLAS, TX
Past
October 30, 2008 - September 17, 2018
LOCKTON INVESTMENT SECURITIES, LLC
BD
CRD#: 137476
DALLAS, TX
Past
May 2, 2006 - October 2, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DALLAS, TX
Past
April 18, 2006 - October 2, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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
Texas(10/10/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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.
