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JOHN RAMSDELL LUCAS JR
CRD#: 2736814
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2 Belvedere Place
Suite 220
Mill Valley, CA 94941
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (16 years)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2002 - 2009 (6 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)1998 - 2003 (4 years)BSMITH BARNEY INC. (CRD# 7059)1996 - 1998 (2 years)IACREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2003 - 2009 (6 years)IADONALDSON LUFKIN & JENRETTE SE... (CRD# 7560)2000 - 2003 (2 years)
License(s)

State Registrations

B
Alaska 10/1/2013

B
Illinois 4/16/2021

B
Arizona 10/25/2018

B
Iowa 1/2/2025

B
California 1/20/2009

B
Nevada 7/9/2021

IA
California 1/21/2009

B
New York 1/20/2009

B
Colorado 1/20/2009

B
Texas 1/20/2009

B
Florida 1/20/2009

IA
Texas 1/20/2009

B
Hawaii 8/4/2017

B
Utah 1/20/2009

B
Idaho 10/3/2016

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2 Belvedere Place Suite 220, Mill Valley, CA 94941
Registered with this firm since 1/20/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2 Belvedere Place Suite 220, Mill Valley, CA 94941
Registered with this firm since 1/20/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/17/2003 - 02/11/2009 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) SAN FRANCISCO, CA
B
07/31/2002 - 02/11/2009 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) SAN FRANCISCO, CA
IA
12/11/2000 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) SAN FRANCISCO, CA
B
08/18/1998 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
05/30/1996 - 08/25/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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B
Broker
IA
Investment Adviser
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.