Jeffrey K. 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.
Jeffrey K Lucas, who also goes by Jeffrey Karl Lucas II, Jeffrey Karl Lucas Jr, Jeffrey Lucas, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2013. Jeffrey had worked at 10 firms and has passed the Series 66, 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
September 5, 2025 - January 2, 2026
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - January 2, 2026
CETERA WEALTH SERVICES, LLC
November 2, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
November 1, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
February 18, 2022 - November 22, 2023
INDEPENDENT FINANCIAL PARTNERS
November 23, 2021 - November 22, 2023
IFP SECURITIES, LLC
April 28, 2021 - November 29, 2021
STATE FARM VP MANAGEMENT CORP.
September 15, 2017 - May 24, 2019
KEY INVESTMENT SERVICES LLC
July 27, 2016 - May 24, 2019
KEY INVESTMENT SERVICES LLC
August 23, 2013 - June 17, 2016
THE HUNTINGTON INVESTMENT COMPANY
February 21, 2013 - May 29, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
