Lucas A. Mosher

SP ASSET MANAGEMENT LLC

Cupertino, CA 95014

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CRD#: 6597693

Professional summary

Lucas Andrew Mosher is a registered financial advisor currently at SP ASSET MANAGEMENT LLC located in Cupertino, California.

Lucas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Lucas has worked at 5 firms and has passed the Series 63, Series 65, 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.

1.) SP ASSET MGMT - 7/23/2018 - 20380 Town Center Lane, Suite 2055, Cupertino, CA 95014 - Director of Operations, Operations, Invt Rel, RA business, 160 hrs/mo; 160 hrs/mo (during trading hours) 2.) INDEPENDENT INSURANCE AGENT - 10/8/2019 - 9568 Seawind Way, Newark, CA 94560 - Agent, Assist clients with fixed life insurance products, Invt Rel, Insurance business, 10 hrs/mo; 10 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas Andrew Mosher'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

February 1, 2023 - Present

SP ASSET MANAGEMENT LLC

Office #1: 20380 Town Center Lane Ste 205, Cupertino, CA 95014

RIA

CRD#: 323369

Cupertino, CA

Past

July 18, 2022 - March 30, 2023

SP ASSET MANAGEMENT LLC

RIA

CRD#: 113178

Cupertino, CA

Past

September 9, 2016 - June 25, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MENLO PARK, CA

Past

September 9, 2016 - June 25, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MENLO PARK, CA

Past

August 9, 2016 - August 17, 2016

PORTSMOUTH FINANCIAL SERVICES

CRD#: 13980

SAN FRANCISCO, CA

Past

June 27, 2016 - August 25, 2016

NB WEALTH MANAGEMENT LLC

RIA

CRD#: 283016

SAN FRANCISCO, CA

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".

SP ASSET MANAGEMENT LLC

CRD#: 323369 / SEC#: 801-126698

RIA

Registered Investment Advisory firm - (10/6/2022 Approved)

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

California
(2/1/2023)

IAR

New York
(6/21/2023)

IAR

Texas
(2/1/2023)

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.

Exams

State Security Law Exam

Series 63

Date: 7/14/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/18/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/24/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/3/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2016

General Securities Representative Examination

Current Firm

SP ASSET MANAGEMENT LLC

CRD#: 323369 / SEC#: 801-126698

RIA

Registered Investment Advisory firm - (10/6/2022 Approved)

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Contact information

Main Address

20380 Town Center Lane Ste 205, Cupertino, CA 95014

Mailing Address

Phone number

(408) 257-7711

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SP ASSET MANAGEMENT LLC BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	808
AUM (Assets Under Management)	$ 1,710,556,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
02/27/2024	Cover Page	Report
01/30/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Lucas A. Mosher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas Andrew Mosher's CRS (Customer Relationship Summary).

Certified licenses

Experience

SP ASSET MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PORTSMOUTH FINANCIAL SERVICES

NB WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

SP ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/14/2023

Series 65

Date: 7/18/2022

Series 66

Date: 2/24/2016

SIE

Date: 7/3/2023

Series 7

Date: 1/20/2016

Current Firm

SP ASSET MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SP ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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