Jeffrey Allen Lucas

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2009-11-12

OH RA
APPROVED

Since 2009-11-12

Branch Locations

Cleveland Heights, OH • United States

2932 Wooster Rd Suite 101, Rocky River, OH 44116-2922 • United States

Cleveland Heights, OH • 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

Organization	City	State	From	To
Lpl Financial Llc	Cleveland Heights	OH	08/2009	Present

08/2009 → Present

Lpl Financial Llc

Cleveland Heights, OH

Other Businesses

1. 1/18/2017 - Parallax Investment Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2017 - 200 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2012-08-20
S65	Uniform Investment Adviser Law Examination	2009-10-12

S63 Uniform Securities Agent State Law Examination

2012-08-20
S65 Uniform Investment Adviser Law Examination

2009-10-12

View on SEC IAPD