Elaine E. Lukic
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.
Elaine Esther Lukic, who also goes by Elaine Esther Bailia, Elaine E Lukic, Elaine Lukic, was a registered financial advisor .
Elaine is a previously registered financial advisor and started their career in finance in 1976. Elaine had worked at 13 firms and has passed the Series 66, Series 63, Series 5, 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
April 16, 2001 - September 13, 2002
USALLIANZ SECURITIES, INC.
February 16, 2001 - September 13, 2002
USALLIANZ SECURITIES, INC.
October 21, 1997 - November 16, 1998
WHELAN SECURITIES INC
September 30, 1992 - October 23, 1995
A. G. EDWARDS & SONS, INC.
September 25, 1989 - November 4, 1992
SECURITIES AMERICA, INC.
May 3, 1988 - July 27, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
August 10, 1987 - April 28, 1988
CITIGROUP GLOBAL MARKETS INC.
December 18, 1985 - August 5, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
August 1, 1985 - December 26, 1985
E. F. HUTTON & COMPANY INC
May 2, 1984 - August 8, 1985
MORGAN STANLEY DW INC.
November 11, 1981 - May 17, 1984
LEHMAN BROTHERS INC.
September 26, 1978 - December 17, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 2, 1976 - January 24, 1977
LOEB, RHOADES & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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.
