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JL

John C. Lucey

COVINGTON ASSOCIATES
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 7275995
JL

Professional summary

John Charles Lucey is a registered financial professional currently at COVINGTON ASSOCIATES, LLC located in Boston, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 2021. John has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view John Charles Lucey's 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, 2021 - Present

COVINGTON ASSOCIATES, LLC

Office #1: 99 Summer Street 2nd Floor, Boston, MA 02110Office #2: 99 Summer Street 2nd Floor, Boston, MA 02110
BD
CRD#: 127437
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Massachusetts
(3/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/30/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/10/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CA
COVINGTON ASSOCIATES, LLC
COVINGTON ASSOCIATES, LLC

CRD#: 127437 / SEC#: , 8-65997

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
99 Summer Street 2nd Floor, Boston, MA 02110
Mailing Address
99 Summer Street 2nd Floor, Boston, MA 02110
Phone number
(617) 314-3950
Established
Massachusetts since 12/18/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CIBOTTI, THOMAS MARKPARTNER
DUNN, IAN BENJAMINPARTNER, CHIEF COMPLIANCE OFFICER, AML SUPERVISOR,
COVINGTON, CHRISTOPHER HUGHPARTNER
CROSBY-BROWN, LAURA MAYFINOP1545513

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

COVINGTON ASSOCIATES, LLC

CRD#: 127437Boston, MA 02110

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