Donald S. 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.
Donald Seymour Lucas, who also goes by Don Lucas, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1977. Donald had worked at 12 firms and has passed the Series 65, Series 63, 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
May 6, 2011 - September 28, 2012
NEW ENGLAND SECURITIES
April 13, 2011 - September 28, 2012
NEW ENGLAND SECURITIES
December 18, 1997 - April 18, 2011
MML INVESTORS SERVICES, LLC
March 1, 1996 - April 18, 2011
MML INVESTORS SERVICES, LLC
August 2, 1991 - March 1, 1996
G. R. PHELPS & CO., INC.
January 3, 1989 - October 11, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 1, 1987 - August 6, 1991
COMMONWEALTH FINANCIAL NETWORK
March 4, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 17, 1984 - April 2, 1987
MONEY CONCEPTS CAPITAL CORP
June 19, 1983 - February 27, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 31, 1978 - November 14, 1983
BUELL SECURITIES CORP.
May 4, 1978 - March 3, 1981
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 16, 1977 - May 24, 1978
PRUDENTIAL EQUITY GROUP, LLC
April 1, 1977 - September 16, 1977
BACHE HALSEY STUART 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
Current Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
