Thomas D. Lucia
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.
Thomas D Lucia, who also goes by Thomas Daniel Lucia, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2003 - December 31, 2011
INTERNATIONAL PLANNING ALLIANCE, LLC
April 30, 2001 - December 9, 2022
PARK AVENUE SECURITIES LLC
May 3, 1999 - December 9, 2022
PARK AVENUE SECURITIES LLC
March 28, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
July 17, 1985 - May 21, 1986
KURZ-LIEBOW & COMPANY, INC.
November 21, 1984 - March 27, 1995
NATHAN & LEWIS SECURITIES, INC.
July 1, 1981 - April 1, 1986
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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