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Thomas Wayne Lucas

Rbc Capital Markets, LLC

Minneapolis, MN

Erie, PA

Maple Grove, MN

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2023-10-03
PA RA APPROVED 2023-10-02
  • MN RA
    APPROVED
    Since 2023-10-03
  • PA RA
    APPROVED
    Since 2023-10-02

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

300 State Street Suite 101, Erie, PA 16507-1428 • United States

Maple Grove, MN • 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
Wells Fargo Advisors Llc Erie PA 08/2016 11/2016
Wells Fargo Clearing Services, Llc Erie PA 11/2016 10/2023
Rbc Capital Markets, Llc Erie PA 10/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-24
S63 Uniform Securities Agent State Law Examination 2013-04-23
  • S65 Uniform Investment Adviser Law Examination
    2014-11-24
  • S63 Uniform Securities Agent State Law Examination
    2013-04-23
Designations
Other Names
  • Tom Lucas

View on SEC IAPD

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