Raymond J. Lucia
Professional summary
Raymond Joseph Lucia was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Raymond is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Raymond had worked at 12 firms, which includes LUCIA CAPITAL GROUP, FIRST ALLIED SECURITIES INC., LUCIA SECURITIES LLC, RJL FINANCIAL NETWORK L.L.C., SECURITIES AMERICA INC., 24-7 FINANCIAL, THE ADVISORS GROUP INC., RAYMOND J. LUCIA COMPANIES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, FIRST WALL STREET CORP., SIGNATOR INVESTORS INC., HORNOR TOWNSEND & KENT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2011 - July 15, 2013
LUCIA CAPITAL GROUP
November 9, 2007 - June 9, 2010
FIRST ALLIED SECURITIES, INC.
October 19, 2006 - June 28, 2010
LUCIA SECURITIES, LLC
January 31, 2006 - February 15, 2006
LUCIA SECURITIES, LLC
April 19, 2004 - December 21, 2007
RJL FINANCIAL NETWORK, L.L.C.
September 30, 2002 - November 17, 2007
SECURITIES AMERICA, INC.
September 18, 2001 - December 31, 2002
24-7 FINANCIAL
July 8, 1997 - September 30, 2002
THE ADVISORS GROUP, INC.
April 22, 1996 - September 30, 2002
THE ADVISORS GROUP, INC.
April 4, 1996 - December 15, 2011
RAYMOND J. LUCIA COMPANIES, INC.
June 30, 1994 - May 6, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 24, 1992 - July 26, 1993
FIRST WALL STREET CORP.
August 13, 1991 - May 6, 1996
SIGNATOR INVESTORS, INC.
January 19, 1983 - August 14, 1991
HORNOR, TOWNSEND & KENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LUCIA CAPITAL GROUP
CRD#: 152396 / SEC#: 801-71073
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
