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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Thomas Joseph Lucas

Advisor at WELLS FARGO ADVISORS

NEWTOWN, CT | PURCHASE, NY

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Search this name across graphsid dfx:ria:f1dd05e1-2d32-b6d6-ddac-b417aaab66d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 13, 2003 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 27, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 27, 1998
First registration: May 13, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 3018921

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
WELLS FARGO ADVISORS	Wirehouse	Dec 11, 2025	n/a	yes	PURCHASE, NY\|NEWTOWN, CT	Current employment
EDWARD JONES	National bd RIA	May 27, 2022	Dec 10, 2025	no	FAIRFIELD, CT\|ST LOUIS, MO\|EASTON, CT	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 13, 2004	Jun 21, 2022	no	FAIRFIELD, CT\|Fairfield, CT	Previous registration
ESSEX NATIONAL SECURITIES, INC.	Former SEC adviser	May 13, 2003	Apr 27, 2004	no	FAIRFIELD, CT	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
EDWARD JONES	WELLS FARGO ADVISORS	Dec 10, 2025	Dec 11, 2025	1	Firm change	Ibd to wirehouse
CHARLES SCHWAB & CO., INC.	EDWARD JONES	Jun 21, 2022	May 27, 2022	-25	Firm change	Ibd to ibd
ESSEX NATIONAL SECURITIES, INC.	CHARLES SCHWAB & CO., INC.	Apr 27, 2004	May 13, 2004	16	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Dec 11, 2025 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
May 27, 2022 to Dec 10, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 13, 2004 to Jun 21, 2022factForm ADV
→ ESSEX NATIONAL SECURITIES, INC.Registered adviserregistration: previous registration
May 13, 2003 to Apr 27, 2004factForm ADV

Dated events

Occurred
Dec 10, 2025
Advisor changed firm
Thomas Joseph Lucas left Edward Jones for Wells Fargo Advisors (registered 2025-12-11)
Form ADVobserved 5 days ago
Occurred
Jun 21, 2022
Advisor changed firm
Thomas Joseph Lucas left Charles Schwab & Co., Inc. for Edward Jones (registered 2022-05-27)
Form ADVobserved 5 days ago