Nadine Y. 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.
Nadine Yvonne Lucas, who also goes by Nadine Yvonne Deluca, Nadine Y Fleming, Nadine Yvonne Fleming, Nadine Yvonne Fleming Lucas, was a registered financial professional .
Nadine is a previously registered financial professional and started their career in finance in 1979. Nadine had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26, Series 53, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2014 - June 13, 2017
ASSETMARK BROKERAGE, LLC
August 13, 2008 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
March 5, 2001 - April 25, 2008
EAINVEST SECURITIES, INC.
July 31, 1993 - September 5, 2000
CITIGROUP GLOBAL MARKETS INC.
October 10, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
July 27, 1979 - October 10, 1983
DAVIS, SKAGGS & 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 8
Date: 4/5/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
