Scott Lucas

947
Worthington, Ohio, 43085
Phone: 614.840.9770
Website: www.lucasfinancialservices.com
Credentials: ChFC®, RFC®
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Registry Member Since 2005
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Business Philosophy

We do not look exclusively at the rate of return when approaching the Financial Planning process. We attempt to go deeper with our clients to best find solutions that will facilitate the type of lifestyle they desire. Helping people make the most of their financial resources and effective financial decision-making will result in what is most important- living a happy, rewarding, low stress,financially secure life.

My Minimum Asset Requirements: $50,000

Types of Clients:
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
Types of Services:
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
  • Tax Advice & Services
  • Other
Assets Under Management:
  • Did Not Provide
Number of Clients:
  • Did Not Provide
1. What are your firm names?
  • Broker Dealer

    Proequities

2. What is your type of RIA registration?
  • SEC
3. Are you a sole practitioner or a member of a firm or team?
  • Member Firm or Team
4. What is your relationship to your Registered Investment Advisor?
  • Owner
5. What are your years of applicable financial service experience?
  • 24 Years
6. Do you have any college degree(s)?
School
Degree
Major
The Ohio State University
BSBA
7. Do you belong to any industry associations?
  • FPA
  • RFC
  • ChFC
8. What is your CRD or IARD number?
  • 1489956
9. Do you hold any active securities licenses?
  • 63, 7
10. Which categories of financial services do you provide?
  • Financial Planning Advice & Services
  • Investment Advice & Services
  • Insurance Advice & Services
  • Tax Advice & Services
  • Other
11. Which planning services do you provide?
  • Financial Plans
  • Retirement Plans
  • College Plans
  • Estate Plans
  • Charitable Plans
  • Tax Plans
12. Which investment advisory services do you provide?
  • Investment Strategy & Policy
  • Risk Management
  • Rebalancing
  • Tax Efficient Investing
  • Asset Allocation
  • Asset Allocation
  • Performance Reports
  • Money Manager Selection
  • Performance Reports
13. If you make investment decisions for clients, how do you invest their assets?
  • Did Not Provide
14. How many clients (not accounts) do you currently service?
  • Did Not Provide
15. What amount of client assets is currently under your management or advisement?
  • Did Not Provide
16. What is minimum fee for your planning services?
  • Did Not Provide
17. What is your minimum asset requirement for your investment services?
  • $50,000
18. What is your minimum net worth requirement for your planning services?
  • Did Not Provide
19. What type of compensation do you receive for your planning services?
  • Asset Based Fees, Hourly Fees, Fixed Fees, Commission (Investment), Commission (Insurance)
20. What type of compensation do you receive for your investment advisory services?
  • Asset Based Fees, Hourly Fees, Fixed Fees, Commissions (Investment), Commissions (Insurance)
21. Do you work with remote clients over the Internet and telephone?
  • Yes
22. Do you hold any active insurance licenses?
  • Life, Annuity, Long-Term Care, Disability, Health
23. Are you a Registered Investment Advisor or an Investment Advisor Representative?
  • Yes
24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
25. What states are covered by your registration(s) to sell investment advisory services?
  • Arizona
  • California
  • Connecticut
  • Florida
  • Georgia
  • Indiana
  • Michigan
  • Ohio
  • Pennsylvania
  • South Carolina
  • West Virginia
26. What states are covered by your registration(s) to sell investment and brokerage products?
  • Did Not Provide
27. What states are covered by your registration(s) to sell insurance products?
  • Did Not Provide
28. Do you have any compliance disclosures for the past 5 years?
  • Investment Disclosures: No
  • Insurance Disclosures: No
29. Do you have any criminal disclosures since you became an adult?
  • Misdemeanors: No
  • Felonies: No
30. How do investors view your ADV Part II?

Available Upon Request

31. Additional Disclosure Statements or Comments
  • Advisory Services offered through Investment Advisors, a Division of ProEquities Inc. A registered Investment Advisor. Securities offered through ProEquities Inc. a Registered Broker/Dealer, Member FINRA/SIPC
32. What languages do you speak fluently?
  • Did Not Provide
33. What is your primary role?
  • Did Not Provide
34. Which investment products do you sell?
  • Mutual Funds
  • REITs
  • Private Placements
  • Other
35. Which insurance products do you sell?
  • Life
  • Fixed Annuities
  • Variable Annuities
  • Long Term Care
  • Disability Income
  • Health
36. Do you provide tax advice and services?
  • Yes
37. Do you provide legal advice and services?
  • Did Not Provide
38. Do you provide any limited engagement services?
  • Planning Only (No investment services)
  • Financial Plan Reviews
39. What types of clients do you work with?
  • Individuals
  • Companies (Non-Pension)
  • Companies (Pension)
40. Where does your first meeting with a prospective client take place?
  • Investor's Preference
41. Which companies act as custodians for your clients assets?
  • Pershing LLC
42. What types of reports do you provide your clients and what is the frequency?
43. General Comments:

Did Not Provide

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Certification

I certify all of the information in my professional profile is accurate and up-to-date.
Advisor Name: Scott Lucas
Most Recent Update: May/ 8/2013