Stephen Douglas Lucas

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → Present
  Cambridge Investment Research, Inc,
  Fairfieild, IA
• 07/2016 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2015-01-30 → 2016-07-12
  Stonex Advisors Inc.
  Birmingham, AL
• 2010-05-21 → 2015-01-30
  Wrp Investments, Inc.
  Ellwood, PA
  Youngstown, OH
  Youngstown, OH
• 2008-08-28 → 2010-03-02
  Msi Financial Services, Inc.
  Ellwood City, PA

Other Businesses

1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.STEPHEN LUCAS & ASSOCIATES, ELLWOOD CITY, PA, 7/2016 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2/WK - 1/TRADING. 3. STEPHEN LUCAS & ASSOCIATES, ELLWOOD CITY, PA, 01/2018. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. NIR-5/MO-5/TRADING. 4. STEPHEN LUCAS & ASSOCIATES, 202 Adams Pointe Blvd. #10, Mars PA 16046, United States, 07/01/2016, IAR, DBA Name, INV REL, 160HR/MO-120HR/TRADING

Exams

• S63 Uniform Securities Agent State Law Examination
  1992-06-15