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Sean Michael Lucas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Roseville, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-02-11
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 2013-02-11
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

2998 Douglas Blvd, Roseville, CA 95661 • 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
Merrill Lynch Pierce Fenner & Smith Inc. Roseville CA 08/1995 Present
Bank Of America,Na Roseville CA 09/2009 Present
  • 08/1995 → Present
    Merrill Lynch Pierce Fenner & Smith Inc.
    Roseville, CA
  • 09/2009 → Present
    Bank Of America,Na
    Roseville, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-03
S63 Uniform Securities Agent State Law Examination 1996-10-24
  • S65 Uniform Investment Adviser Law Examination
    1996-12-03
  • S63 Uniform Securities Agent State Law Examination
    1996-10-24
Other Names
  • Sean M Lucas

View on SEC IAPD

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COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
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