Mark T. Lucero
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.
Mark Thomas Lucero was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1975. Mark had worked at 5 firms and has passed the Series 63, Series 3, 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
September 27, 1995 - October 27, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
January 15, 1991 - September 14, 1993
A. G. EDWARDS & SONS, INC.
November 22, 1989 - January 11, 1991
ACUMENT SECURITIES, INC.
September 14, 1982 - November 16, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 23, 1975 - June 9, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PENN CAPITAL FINANCIAL SERVICES, INC.
CRD#: 10640 / SEC#: , 8-28011
Contact information
Documents
Red Flags
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