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Detailed Report
RICHARD THOMAS LUCKER
RICH LUCKER
CRD#: 2285760
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 401 SUDDERTH DR
RUIDOSO, NM 88345
Registration History
19952000200520102015202020252 FIRMS1999 - 2008 (8 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - Present (11 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1995 - 1999 (3 years)BBUTTONWOOD SECURITIES, INC. (CRD# 18420)1993 - 1995 (2 years)BPORTFOLIO ASSET MGT/USA FINANC... (CRD# 13741)1992 - 1993 (<1 year)
Disclosure(s)
View By:
3/17/2017
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/3/2014
B
North Carolina 5/15/2023
B
Arkansas 2/17/2017
B
Ohio 11/15/2023
B
California 8/6/2021
B
Oklahoma 5/15/2023
B
Colorado 5/15/2023
B
Pennsylvania 5/18/2023
B
Delaware 11/27/2023
B
Puerto Rico 8/12/2021
B
Florida 5/15/2023
B
Tennessee 11/16/2023
B
Massachusetts 6/28/2019
B
Texas 3/3/2014
B
Michigan 8/8/2021
IA
Texas 3/12/2014
B
Nevada 5/18/2023
B
Utah 8/1/2017
B
New Mexico 3/3/2014
B
Vermont 11/16/2023
IA
New Mexico 2/18/2025
B
Washington 1/2/2024
B
New York 8/6/2021

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
401 SUDDERTH DR, RUIDOSO, NM 88345
Registered with this firm since 3/12/2014
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
401 SUDDERTH DR, RUIDOSO, NM 88345
Registered with this firm since 3/3/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 02/26/2014 MORGAN STANLEY (CRD#:149777) TUCSON, AZ
B
 06/01/2009 - 02/26/2014 MORGAN STANLEY (CRD#:149777) TUCSON, AZ
IA
 06/06/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LAKE OSWEGO, OR
B
 06/06/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) LAKE OSWEGO, OR
IA
 08/02/1999 - 06/19/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
B
 07/06/1999 - 06/19/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BELLEVUE, WA
B
 12/18/1995 - 07/27/1999 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 12/03/1993 - 12/15/1995 BUTTONWOOD SECURITIES, INC. (CRD#:18420)
FINRA expelled the firm on 11/06/1997
NEW YORK, NY
B
 12/11/1992 - 11/01/1993 PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. (CRD#:13741) EL PASO, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.