Lucas J. Gooding

CETERA PLANNING PARTNERS

Westerville, OH

Some features on this profile are disabled

CRD#: 7070473

Professional summary

Lucas John Gooding, who also goes by Lucas J Gooding, Lucas Gooding, is a registered financial advisor currently at CETERA PLANNING PARTNERS located in Westerville, Ohio and CETERA WEALTH SERVICES, LLC located in Dubuque, Iowa.

Lucas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Lucas has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Aliases

Lucas J Gooding | Lucas Gooding

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.

AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES. POSITION: rep NATURE: sell insurance through Avantax INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/25/2024 ADDRESS: 3390 Asbury Road, Dubuque IA 52002, United States DESCRIPTION: sell insurance through Avantax

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas John Gooding'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

September 29, 2026 - Present

CETERA PLANNING PARTNERS

RIA

CRD#: 129625

Westerville, OH

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 210 Jones St Suite 104, Dubuque, IA 52001

CRD#: 13572

DUBUQUE, IA

Past

October 25, 2024 - September 29, 2026

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

Westerville, OH

Past

October 25, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DUBUQUE, IA

Past

September 13, 2022 - July 29, 2024

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

BROADVIEW HEIGHTS, OH

Past

July 22, 2022 - July 29, 2024

CITIZENS SECURITIES, INC.

CRD#: 39550

BROADVIEW HEIGHTS, OH

Past

January 24, 2020 - December 31, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

BRECKSVILLE, OH

Past

October 17, 2019 - December 19, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

CANTON, OH

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".

CETERA PLANNING PARTNERS

CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.

CRD#: 129625 / SEC#: 801-62655

RIA

Registered Investment Advisory firm - (1/16/2004 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.

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

Ohio
(9/5/2025)

IAR

Ohio
(9/29/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 9/12/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/10/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Status Unavailable

Passed: 10/17/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 9/12/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CETERA PLANNING PARTNERS

CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.

CRD#: 129625 / SEC#: 801-62655

RIA

Registered Investment Advisory firm - (1/16/2004 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211

Mailing Address

Phone number

(913) 498-8898

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CETERA PLANNING PARTNERS AUGUST 2026 (9/1/2026)

Regulatory assets under management

Total Number of Accounts	14,107
AUM (Assets Under Management)	$ 4,164,758,846

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/19/2026	Cover Page	Report
11/24/2025	Cover Page	Report
08/08/2024	Cover Page	Report
11/27/2023	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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lucas J. Gooding

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas John Gooding's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX PLANNING PARTNERS, INC.

AVANTAX INVESTMENT SERVICES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CETERA PLANNING PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Passed: 9/12/2022

Series 63

Passed: 2/10/2020

Series 6TO

Passed: 10/17/2019

SIE

Passed: 9/12/2019

FINRA

Current Firm

CETERA PLANNING PARTNERS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA PLANNING PARTNERS

TRUST BUT VERIFY

Similar Advisors