LG
Lucas S. Gray
NATIONS FINANCIAL GROUP
Cedar Rapids, IA 52411
Some features on this profile are disabled
CRD#: 6495438
LG
Professional summary
Lucas Scott Gray, who also goes by Luc Gray, Lucas Gray, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Cedar Rapids, Iowa.
Lucas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Lucas has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Luc Gray | Lucas Gray
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.
Premier Animal Wellness & Surgery of Independence. 1116 5th Ave. NE Independence, IA 50644. Not investment related. Nature of business is veterinary clinic. Position is board member. Started 3/1/2023. Spend approx. 2 hrs/month on business with none during security trading hrs. Duties are board meetings and consulting.// BAEL Ventures, LLC. Is investment related. 405 Enterprise Dr. Independence, IA 50644. Nature of business is business valuations. Position is owner. Started 10/22/2024. Spend approx. 10 hour per month on business. Spend approx. 0 hours per month during trading hours. Duties are to conduct business valuations.// Independence Lodge No 87 AF & AM Trust. Is investment related. 107 Market Ave Rowley, IA 52329. Nature of business is a trust. Position is 1 of 3 trustees on investment committee. Started 5/8/2025 Spend approx. 1 hour per month on business. Spend approx. 0 hours per month during trading hours. Duties are member of trustee committee.
CRS (Client Relationship Summary) - RIA
Click below to view Lucas Scott Gray's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lucas Scott Gray'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®
NoneExperience
Current
February 6, 2024 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 44181
Cedar Rapids, IA
Current
January 19, 2024 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 44181
Cedar Rapids, IA
Past
March 26, 2021 - January 11, 2022
PRAIRIE CAPITAL MARKETS, LLC
BD
CRD#: 158309
Cedar Rapids, IA
Past
July 2, 2020 - December 22, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
INDEPENDENCE, IA
Past
June 17, 2020 - December 22, 2020
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
INDEPENDENCE, IA
Past
October 2, 2017 - February 20, 2018
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
June 26, 2015 - June 6, 2017
DIRECTED SERVICES LLC
BD
CRD#: 21675
DES MOINES, IA
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Iowa(2/6/2024)
IAR
Iowa(2/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 5/31/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/19/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
Company Information
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Cedar Rapids, IA 52411TRUST BUT VERIFY
Monitor Lucas Gray
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
