Kenneth N. Lucas
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.
Kenneth Neil Lucas, who also goes by Ken Lucas, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1976. Kenneth had worked at 10 firms and has passed the Series 63, Series 16, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2013 - November 4, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2002 - October 20, 2011
VFINANCE INVESTMENTS, INC
February 21, 1996 - January 1, 2002
FIRST COLONIAL SECURITIES
December 9, 1991 - January 31, 1996
JOHNSTON, LEMON & CO. INCORPORATED
May 1, 1989 - December 10, 1991
W.H. NEWBOLD'S SON & CO., INC.
June 21, 1988 - May 1, 1989
HOPPER SOLIDAY & CO., INC.
July 9, 1981 - March 21, 1984
MOSELEY SECURITIES CORPORATION
December 14, 1979 - July 11, 1981
BUTCHER & SINGER INC.
February 1, 1979 - November 29, 1979
FIRST CLEVELAND INVESTMENTS, INC.
October 4, 1976 - December 27, 1978
INTEGRATED RESOURCES EQUITY CORPORATION
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 1
Date: 9/30/1976
Registered Representative ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
