Lucas C. Seely
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.
Lucas Campbell Seely, CFP®, who also goes by Lucas C Seely, Luke Seely, Lucas Campbell Seely, Lucas Seely, was a registered financial professional .
Lucas is a previously registered financial professional and started their career in finance in 2008. Lucas had worked at 5 firms and has passed the Series 66, Series 7TO, SIE 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 13, 2021 - May 19, 2022
UNITED CAPITAL FINANCIAL ADVISORS
May 10, 2018 - May 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2018 - May 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2016 - August 28, 2017
RAYMOND JAMES & ASSOCIATES, INC.
September 6, 2016 - August 28, 2017
RAYMOND JAMES & ASSOCIATES, INC.
June 14, 2013 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
June 14, 2013 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
May 3, 2012 - January 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2012 - January 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2008 - August 29, 2011
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
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
Series 7TO
Date: 10/5/2022
General Securities Representative ExaminationCurrent Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
