Richard A. Lucas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Alan Lucas JR, who also goes by Rick Lucas Jr, Rick Lucas, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 1998 - June 12, 2008
EMMETT A LARKIN COMPANY, INC.
February 29, 1996 - January 2, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
February 28, 1996 - January 2, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
April 9, 1990 - December 31, 1995
HELIX SECURITIES, INC.
May 22, 1989 - January 1, 1990
AESIR SECURITIES, INC.
September 20, 1983 - July 7, 1989
AAA CAPITAL & SECURITIES CORP.
April 13, 1982 - July 11, 1983
R. A. JOHNSON AND COMPANY, INC.
March 26, 1980 - May 19, 1982
WESTERN CAPITAL & SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
