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Detailed Report
Lucas Scott Lavin
LUCAS SCOTT LAVIN, LUKE SCOTT LAVIN, Lucas Lavin
CRD#: 4541887
IA
Investment Adviser
B
Broker
ADVISORS ASSET MANAGEMENT, INC.CRD#: 46727 Boston, MA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BHENNION & WALSH, INC. (CRD# 25766)2019 - 2023 (4 years)BPATRICK CAPITAL MARKETS, LLC (CRD# 16518)2018 - 2019 (<1 year)BFIRST TRUST PORTFOLIOS L.P. (CRD# 28519)2008 - 2016 (7 years)BSUN LIFE FINANCIAL DISTRIBUTOR... (CRD# 5496)2002 - 2008 (6 years)IAFIRST TRUST ADVISORS LP (CRD# 107027)2012 - 2016 (3 years)
License(s)

State Registrations

B
Connecticut 9/6/2023
IA
Massachusetts 9/27/2023
B
Maine 9/11/2023
B
New Hampshire 9/26/2023
B
Massachusetts 9/25/2023
B
Rhode Island 9/25/2023

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
ADVISORS ASSET MANAGEMENT, INC. (CRD#:46727)
Boston, MA
Registered with this firm since 9/27/2023
B
ADVISORS ASSET MANAGEMENT, INC. (CRD#:46727)
Boston, MA
Registered with this firm since 9/5/2023
Previous Registration(s)
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B
 01/10/2019 - 08/24/2023 HENNION & WALSH, INC. (CRD#:25766) PARSIPPANY, NJ
B
 06/14/2018 - 01/28/2019 PATRICK CAPITAL MARKETS, LLC (CRD#:16518) Corona del Mar, CA
IA
 06/27/2012 - 05/04/2016 FIRST TRUST ADVISORS LP (CRD#:107027) BOSTON, MA
B
 09/24/2008 - 05/04/2016 FIRST TRUST PORTFOLIOS L.P. (CRD#:28519) WHEATON, IL
B
 08/28/2002 - 10/02/2008 SUN LIFE FINANCIAL DISTRIBUTORS, INC. (CRD#:5496) BOSTON, MA
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.