Henrique D. Lucena

LAIDLAW WEALTH MANAGEMENT LLC

Coral Gables, FL 33134

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CRD#: 5605196

Professional summary

Henrique David Lucena is a registered financial advisor currently at LAIDLAW WEALTH MANAGEMENT LLC located in Coral Gables, Florida and LAIDLAW & COMPANY (UK) LTD. located in Coral Gables, Florida.

Henrique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Henrique has worked at 5 firms and has passed the Series 66, SIE 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 Henrique David Lucena'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 11, 2020 - Present

LAIDLAW WEALTH MANAGEMENT LLC

Office #1: 2 Alhambra Plaza Suite 802, Coral Gables, FL 33134

RIA

CRD#: 150040

Coral Gables, FL

Current

July 29, 2020 - Present

LAIDLAW & COMPANY (UK) LTD.

Office #1: 2 Alhambra Plaza Suite 620, Coral Gables, FL 33134

CRD#: 119037

Coral Gables, FL

Past

March 13, 2017 - July 30, 2020

MORGAN STANLEY

RIA

CRD#: 149777

AVENTURA, FL

Past

March 10, 2017 - July 30, 2020

MORGAN STANLEY

CRD#: 149777

AVENTURA, FL

Past

October 15, 2010 - March 21, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORAL GABLES, FL

Past

August 4, 2010 - March 21, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CORAL GABLES, FL

Past

November 14, 2008 - August 10, 2010

ITAU INTERNATIONAL SECURITIES INC.

CRD#: 144769

MIAMI, FL

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".

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 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.

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

Delaware
(7/29/2020)

Florida
(7/29/2020)

IAR

Florida
(8/11/2020)

Mississippi
(7/29/2020)

New York
(7/29/2020)

Utah
(7/29/2020)

Wyoming
(7/29/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/13/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

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Contact information

Main Address

521 Fifth Ave 12th Floor, New York, NY 10175

Mailing Address

Phone number

(212) 953-4910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAIDLAW WEALTH MANAGEMENT FORM ADV PART 2A (MARCH 28, 2025) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 114,764,475

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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Firm Stability Insights

Henrique D. Lucena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Henrique David Lucena's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAIDLAW & COMPANY (UK) LTD.

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ITAU INTERNATIONAL SECURITIES INC.

Primary Firm SEC Registration

LAIDLAW WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2008

FINRA

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAIDLAW WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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