Thomas LucasCRD Number: 3018921
Current Firm: Charles Schwab & Company, Inc.
Thomas Lucas (CRD# 3018921) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Fairfield, CT and has over 19 years of experience in the finance industry.
Altium Wealth Management LLC
Abbondandolo Wealth Management Corp
American Portfolios Advisors, Inc.
|Charles Schwab Bank||Fairfield, CT||Feb 2005 - Current||13|
|Charles Schwab & Company, Inc.||Fairfield, CT||Apr 2004 - Current||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1998|
|S65||NASAA Investment Advisors Law Examination||May 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY