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David Lucas
48 Years of Experience
San Jose, CA
1 DisclosureBroker
David Lucas is a registered investment advisor at Raymond James & Associates, INC., based in San Jose, CA, with 48 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
333 W San Carlos St., Suite 1650, San Jose, CA, 95110
Get directionsHistory
Regulatory History (1)
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Customer Dispute
September 2018Denied
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 4 mos
Raymond James & Associates, INC.Broker
January 2011 - Present · 15 yrs 4 mos
Raymond James & Associates, INC.
January 2011 - Present · 15 yrs 4 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 Registrations18 states
AKAZCACOFLIDILKSMEMIMNMONCNJORTXVTWA
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.