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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Michael Lucas

Advisor at CHARLES SCHWAB & CO., INC.

Cheyenne, WY

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Search this name across graphsid dfx:ria:c5b6fecd-e841-953b-be69-f1e8093d3a35

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 4, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Oct 4, 2010
First registration: Apr 21, 2014
Dual registered: yes, broker-dealer
Other names: Michael A Lucas|Michael Anthony Lucas
IAPD individual key: 5794002

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 3, 2025	n/a	yes	Cheyenne, WY	Current employment
NAVIGATION WEALTH MANAGEMENT	Independent wealth	Nov 10, 2017	Mar 3, 2020	no	Cheyenne, WY\|FORT COLLINS, CO	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Feb 19, 2015	Oct 13, 2017	no	FORT COLLINS, CO	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Apr 21, 2014	Dec 8, 2014	no	FORT COLLINS, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NAVIGATION WEALTH MANAGEMENT	CHARLES SCHWAB & CO., INC.	Mar 3, 2020	Apr 3, 2025	1,857	Firm change after gap	RIA to ibd
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	NAVIGATION WEALTH MANAGEMENT	Oct 13, 2017	Nov 10, 2017	28	Firm change	Other
PARK AVENUE SECURITIES LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Dec 8, 2014	Feb 19, 2015	73	Firm change	Other

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Apr 3, 2025 to presentfactForm ADV
→ NAVIGATION WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 10, 2017 to Mar 3, 2020factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Feb 19, 2015 to Oct 13, 2017factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Apr 21, 2014 to Dec 8, 2014factForm ADV

Dated events

No dated event names this entity yet.