Luc Lawson

DICCIANNI FINANCIAL GROUP

East Norriton, PA 19403

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CRD#: 7224475

Professional summary

Luc Lawson is a registered financial advisor currently at DICCIANNI FINANCIAL GROUP, INC. located in East Norriton, Pennsylvania and LEIGH BALDWIN & CO., LLC located in East Norritown, Pennsylvania.

Luc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Luc has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE 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.

11/2025: Life, Accident and Health Insurance; non-investment related; no ownership; 1 hr/week during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luc Lawson'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

May 16, 2024 - Present

DICCIANNI FINANCIAL GROUP, INC.

Office #1: 333 West Germantown Pike, East Norriton, PA 19403

RIA

CRD#: 149332

East Norriton, PA

Current

June 21, 2021 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 333 West Germantown Pike, East Norritown, PA 19403

RIA

CRD#: 38751

East Norritown, PA

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".

DICCIANNI FINANCIAL GROUP, INC.

ARGUS FINANCIAL GROUP, INC. | DICCIANNI FINANCIAL GROUP, INC.

CRD#: 149332 / SEC#: 801-133763

RIA

Registered Investment Advisory firm - (6/30/2025 Approved)

New Jersey

Registered Investment Advisory firm - (6/16/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/8/2025 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.

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

Pennsylvania
(9/17/2021)

IAR

Pennsylvania
(5/16/2024)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 3/31/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/27/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 6/21/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 8/10/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

DICCIANNI FINANCIAL GROUP, INC.

ARGUS FINANCIAL GROUP, INC. | DICCIANNI FINANCIAL GROUP, INC.

CRD#: 149332 / SEC#: 801-133763

RIA

Registered Investment Advisory firm - (6/30/2025 Approved)

New Jersey

Registered Investment Advisory firm - (6/16/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/8/2025 Terminated)

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Contact information

Main Address

333 West Germantown Pike, East Norriton, PA 19403

Mailing Address

Phone number

(484) 681-9046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DICCIANNI ADV PART 2 BROCHURE (8/27/2025)

Regulatory assets under management

Total Number of Accounts	323
AUM (Assets Under Management)	$ 111,229,747

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

Luc Lawson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luc Lawson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

Primary Firm SEC Registration

DICCIANNI FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2023

Series 63

Date: 9/17/2021

Series 7TO

Date: 3/27/2024

Series 6TO

Date: 6/21/2021

SIE

Date: 8/10/2020

FINRA

Current Firm

DICCIANNI FINANCIAL GROUP, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DICCIANNI FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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