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Lucas Scott Lavin

Advisors Asset Management, Inc.

Princeton, NJ

Boston, MA

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2023-09-27
  • MA RA
    APPROVED
    Since 2023-09-27

Branch Locations

300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States

Boston, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Patrick Capital Markets, Llc Saint Louis MO 05/2018 01/2019
Unemployed Boston MA 05/2016 05/2018
Hennion & Walsh, Inc. Parsiappany NJ 01/2019 08/2023
Advisors Asset Management, Inc Monument CO 09/2023 Present
  • 05/2018 → 01/2019
    Patrick Capital Markets, Llc
    Saint Louis, MO
  • 05/2016 → 05/2018
    Unemployed
    Boston, MA
  • 01/2019 → 08/2023
    Hennion & Walsh, Inc.
    Parsiappany, NJ
  • 09/2023 → Present
    Advisors Asset Management, Inc
    Monument, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-25
S63 Uniform Securities Agent State Law Examination 2002-09-09
  • S66 Uniform Combined State Law Examination
    2012-06-25
  • S63 Uniform Securities Agent State Law Examination
    2002-09-09
Other Names
  • Luke Scott Lavin
  • Lucas Scott Lavin
  • Lucas Lavin

View on SEC IAPD

Other Firms

BLACKROCK INVESTMENT MANAGEMENT, LLC
SONGBIRD CAPITAL, LLC
J.P. MORGAN SECURITIES LLC
SYSTEMATIC ALPHA INVESTMENTS, LLC
PNC WEALTH MANAGEMENT LLC
RBC CAPITAL MARKETS, LLC
WATERMARK GROUP, INC.
PRINCETON EQUITY GROUP

Other Investors

DAVID WILLIAM SMITH
JOHN FRANCIS RYAN
ERICA DORAY SEREMETA
DUANE THOMAS LIEDL
MANUEL DAVID SEIDNER
RICHARD DALE WOLFE
MICHAEL JON HEILBRONN
ANGELA MARIE LIBRIZZI

Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ

More in Princeton, NJ

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