Lisa A Lucas

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2016-11-03

PA RA
APPROVED

Since 2016-11-03

Branch Locations

Canonsburg, PA • United States

600 Grant Streetsuite 4650, Pittsburgh, PA 15219 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	Pittsburg	PA	06/2009	10/2016
Ubs Financial Services Inc.	Pittsburgh	PA	10/2016	Present

06/2009 → 10/2016

Morgan Stanley Smith Barney

Pittsburg, PA
10/2016 → Present

Ubs Financial Services Inc.

Pittsburgh, PA

Previous Registrations

2009-06-01 → 2016-11-07

Morgan Stanley

Pittsburgh, PA
2007-12-18 → 2009-06-01

Morgan Stanley & Co. Llc

Pittsburg, PA
2004-07-30 → 2007-12-07

Pnc Wealth Management Llc

Pittsburgh, PA

Pittsburgh, PA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-07-29
S63	Uniform Securities Agent State Law Examination	2002-05-23

S65 Uniform Investment Adviser Law Examination

2004-07-29
S63 Uniform Securities Agent State Law Examination

2002-05-23

View on SEC IAPD