LM
Lucas R. Mcgregor
CETERA INVESTMENT ADVISERS LLC
PLYMOUTH, MN 55447
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CRD#: 7779281
LM
Professional summary
Lucas Robert Mcgregor, who also goes by Lucas Mcgregor, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Plymouth, Minnesota and CETERA WEALTH SERVICES, LLC located in Plymouth, Minnesota.
Lucas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Lucas has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lucas Mcgregor
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.
TRUPLAN FINANCIAL ADVISORS POSITION: Trade Associate NATURE: This is the entity through which I provide Avantax Wealth Management services. TruPlan Financial Advisors offers a wide range of services to meet individual and professional needs, from investment management to retirement and estate planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 110 START DATE: 05/05/2025 ADDRESS: 2 Carlson Parkway North, Suite 175, Plymouth MN 55447, United States DESCRIPTION: I conduct detailed research on economic data and asset classes to support investment decisions. I assist in developing and maintaining asset allocation models based on client goals, risk tolerance, and investment objectives. I execute trades across various asset classes, ensuring accuracy and compliance with client instructions and internal policies. I manage the client relationship, including but not limited to: researching and responding to the client's needs and requests in a timely manner, and providing information within regulatory limits.
CRS (Client Relationship Summary) - RIA
Click below to view Lucas Robert Mcgregor'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3300 Fernbrook Ln N, Plymouth, MN 55447RIA
CRD#: 105644
PLYMOUTH, MN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3300 Fernbrook Ln N Suite 210, Plymouth, MN 55447BD
CRD#: 13572
PLYMOUTH, MN
Past
May 1, 2025 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Plymouth, MN
Past
May 1, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Plymouth, MN
Past
September 30, 2024 - April 30, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MINNETONKA, MN
Past
June 20, 2024 - April 30, 2025
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MINNETONKA, MN
Past
November 1, 2023 - May 7, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
EDINA, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Minnesota(9/5/2025)
IAR
Minnesota(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/25/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 11/1/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
