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David Lucas

Raymond James & Associates, INC.
49 Years of Experience
San Jose, CA
1 DisclosureBroker
View SEC Summary
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David Lucas is a registered investment advisor at Raymond James & Associates, INC., based in San Jose, CA, with 49 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

333 W San Carlos St., Suite 1650, San Jose, CA, 95110

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2018
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David is an investor in Verifyle Inc and microsonics systems, both personal/private investments. He dedicates minimal time to these businesses and has no responsibilities.

Employment History
Current Registrations
Raymond James & Associates, INC.
January 2011 - Present · 15 yrs 9 mos
Raymond James & Associates, INC.
January 2011 - Present · 15 yrs 9 mos
Raymond James & Associates, INC.Broker
January 2011 - Present · 15 yrs 9 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2008 - January 2011 · 3 yrs
Wells Fargo Advisors, LLCBroker
January 2008 - January 2011 · 3 yrs
A. G. Edwards & Sons, INC.
March 2001 - January 2008 · 6 yrs 10 mos
A. G. Edwards & Sons, INC.Broker
July 2000 - January 2008 · 7 yrs 6 mos
Western International Securities, INC.Broker
April 2000 - August 2000 · 4 mos
D.E. Frey & Company, INC.Broker
November 1995 - May 2000 · 4 yrs 6 mos
Everen Securities, INC.Broker
September 1990 - November 1995 · 5 yrs 2 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
May 1982 - September 1990 · 8 yrs 4 mos
Morgan Stanley & CO., IncorporatedBroker
February 1980 - June 1982 · 2 yrs 4 mos
Shuman, Agnew & CO., INC.Broker
August 1977 - February 1980 · 2 yrs 6 mos
Shuman, Agnew & CO., INC.Broker
July 1977 - August 1977 · 1 mo
State Registrations19 states
AKAZCACOFLHIIDILKSMEMIMNMONCNJORTXVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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