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LM

Lucas A. Mosher

SP ASSET MANAGEMENT
Cupertino, CA 95014
Some features on this profile are disabled
CRD#: 6597693
LM

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.
The advisor shows no other business activity.

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

BD
CRD#: 19616
MENLO PARK, CA
Past

August 9, 2016 - August 17, 2016

PORTSMOUTH FINANCIAL SERVICES

BD
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".
SA
SP ASSET MANAGEMENT LLC
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)

Exams

State Security Law Exam
RR
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
RR
IAR
Series 66
Date: 2/24/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/3/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2016
General Securities Representative Examination

Current Firm

SA
SP ASSET MANAGEMENT LLC
SP ASSET MANAGEMENT LLC

CRD#: 323369 / SEC#: 801-126698

RIA
Registered Investment Advisory firm - (10/6/2022 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
3

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts808
AUM (Assets Under Management)$ 1,710,556,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

SP ASSET MANAGEMENT LLC

CRD#: 323369Cupertino, CA 95014

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