Lucas P. Pavlatos

WINCAP FINANCIAL LLC

DANVERS, MA

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CRD#: 6722736

Professional summary

Lucas P Pavlatos, who also goes by Luke Pavlatos, is a registered financial advisor currently at WINCAP FINANCIAL LLC located in Danvers, Massachusetts.

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 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luke Pavlatos

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 P Pavlatos'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

June 10, 2024 - Present

WINCAP FINANCIAL LLC

RIA

CRD#: 315798

DANVERS, MA

Past

January 23, 2024 - May 28, 2024

MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC

CRD#: 150842

Boston, MA

Past

July 9, 2019 - January 23, 2024

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

August 24, 2017 - May 28, 2024

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA

CRD#: 174433

BOSTON, MA

Past

December 15, 2016 - July 9, 2019

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

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".

WINCAP FINANCIAL LLC

CRD#: 315798 / SEC#: 801-131123

RIA

Registered Investment Advisory firm - (9/13/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/30/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2024 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/10/2024)

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

IAR

Series 65

Date: 8/23/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/15/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WINCAP FINANCIAL LLC

CRD#: 315798 / SEC#: 801-131123

RIA

Registered Investment Advisory firm - (9/13/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (9/30/2024 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/3/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2024 Terminated)

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Contact information

Main Address

55 Union Street, Boston, MA 02108

Mailing Address

Phone number

(617) 590-3250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINCAP FINANCIAL DISCLOSURE BROCHURE (6/23/2025)

Regulatory assets under management

Total Number of Accounts	466
AUM (Assets Under Management)	$ 153,250,285

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

Lucas P. Pavlatos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas P Pavlatos's CRS (Customer Relationship Summary).

Certified licenses

Experience

MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Primary Firm SEC Registration

WINCAP FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/2017

Series 63

Date: 2/3/2017

Series 7TO

Date: 4/18/2024

SIE

Date: 10/1/2018

Series 6

Date: 12/15/2016

Current Firm

WINCAP FINANCIAL LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINCAP FINANCIAL LLC

TRUST BUT VERIFY

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