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PATRICIA ST. CLAIR LUCAS
PATRICIA ST CLAIR HALL, PATRICIA ST. CLAIR HALL, PAT HALL LUCAS, PAT LUCAS, PATRICIA ST. CLAIR
CRD#: 4197438
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 4401 STARKEY RoaD
PO DRAWER 21209
ROANOKE, VA 24018
PO DRAWER 21209
ROANOKE, VA 24018
0
Disclosures
24
Years of Experience
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State Registrations
B
Alaska 6/28/2022
B
New York 1/4/2022
B
Colorado 3/21/2023
B
North Carolina 11/6/2017
B
Florida 11/1/2017
B
South Carolina 11/1/2017
B
Georgia 2/1/2018
B
Virginia 11/1/2017
B
Maryland 11/1/2017
IA
Virginia 11/1/2017
B
Missouri 1/4/2021
B
West Virginia 11/1/2017
SRO Registrations
B
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IA
Registered with this firm since 11/1/2017
B
Registered with this firm since 11/1/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/25/2017 - 11/03/2017 | ROANOKE, VA | |
B | 03/25/2017 - 11/03/2017 | ROANOKE, VA | |
IA | 03/14/2007 - 03/25/2017 | ROANOKE, VA | |
B | 04/28/2005 - 03/25/2017 | ROANOKE, VA | |
B | 04/28/2005 - 07/09/2007 | ROANOKE, VA | |
B | 05/30/2000 - 04/25/2005 | LINCOLN, NE |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.