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Michael Wayne Lucas

Cetera Investment Advisers LLC

North Haven, CT

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-10-29
CT RA APPROVED 2019-06-19
  • TX RA
    APPROVED_RES
    Since 2020-10-29
  • CT RA
    APPROVED
    Since 2019-06-19

Branch Locations

127 Washington Ave 2Nd Floor West, North Haven, CT 06473 • 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
Foresters Advisory Services, Llc North Haven CT 08/2012 06/2019
Foresters Financial North Haven CT 04/2015 06/2019
Cetera Investment Advisers Llc North Haven CT 06/2019 Present
Cetera Investment Services Llc St. Cloud MN 06/2019 Present
  • 08/2012 → 06/2019
    Foresters Advisory Services, Llc
    North Haven, CT
  • 04/2015 → 06/2019
    Foresters Financial
    North Haven, CT
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    North Haven, CT
  • 06/2019 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
Previous Registrations
  • 2012-09-27 → 2019-06-24
    Foresters Advisory Services, Llc
    North Haven, CT
Other Businesses

1.) NEW VIEW WEALTH MANAGEMENT LLC, DBA FOR CETERA BUSINESS, 41% OWNER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-17
S63 Uniform Securities Agent State Law Examination 2004-12-07
  • S66 Uniform Combined State Law Examination
    2012-09-17
  • S63 Uniform Securities Agent State Law Examination
    2004-12-07

View on SEC IAPD

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GATEWAY WEALTH PARTNERS, LLC
KEY INVESTMENT SERVICES LLC
BELPOINTE ASSET MANAGEMENT LLC
INNOVATIVE ASSET ADVISORS GROUP
EDWARD JONES

Other Investors

MICHAEL L BENCIVENGO
KUSUM RAMCHANDANI
MAXWELL EDWARD MCLENNA
JOSEPH BRUNO DEDOMENICO
MICHAEL STEPHEN THOMPSON
BRUCE WILLIAM ANESI
BONNIE SVIRIDOFF
JOSEPH F SCHRECK

Other Offices

OSAIC WEALTH, INC. · NORTH HAVEN, CT
CETERA INVESTMENT ADVISERS LLC · NORTH HAVEN, CT
COMMONWEALTH FINANCIAL NETWORK · NORTH HAVEN, CT
LPL FINANCIAL LLC · NORTH HAVEN, CT
GATEWAY WEALTH PARTNERS, LLC · North Haven, CT
KEY INVESTMENT SERVICES LLC · NORTH HAVEN, CT
BELPOINTE ASSET MANAGEMENT LLC · North Haven, CT
INNOVATIVE ASSET ADVISORS GROUP · North Haven, CT

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