Lucy A. Viado
COPPER FINANCIAL
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 1823481
Professional summary
Lucy A Viado, who also goes by Lucy A VIado, Lucy Ablaza Viado, Lucy Ablaza Viado, Lucy Viado, is a registered financial advisor currently at COPPER FINANCIAL located in Los Angeles, California.
Lucy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Lucy has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lucy A Viado | Lucy Ablaza Viado | Lucy Ablaza Viado | Lucy Viado
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
LVFS Education Foundation; Not investment-related; 4774 Park Granada #8294, Calabasas, CA 91307; Promote financial literacy; CEO / President; 12/5/2024; 8hrs; 4 hrs; Volunteer for Junior Achievement and provide education on financial topics to non-profits.
CRS (Client Relationship Summary) - RIA
Click below to view Lucy A Viado's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lucy A Viado's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 25, 2023 - Present
COPPER FINANCIAL
Office #1: 1500 S Sepulveda Blvd, Los Angeles, CA 90025RIA
BD
CRD#: 168203
Los Angeles, CA
Current
April 24, 2023 - Present
COPPER FINANCIAL
Office #1: 1500 S Sepulveda Blvd, Los Angeles, CA 90025RIA
BD
CRD#: 168203
Los Angeles, CA
Past
June 9, 2020 - April 13, 2023
EDWARD JONES
RIA
CRD#: 250
NORTHRIDGE, CA
Past
May 1, 2020 - April 13, 2023
EDWARD JONES
BD
CRD#: 250
NORTHRIDGE, CA
Past
November 17, 2011 - September 19, 2018
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
ENCINO, CA
Past
July 22, 2009 - January 15, 2010
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SANTA BARBARA, CA
Past
February 16, 2006 - September 6, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
LOS ANGELES, CA
Past
June 12, 2002 - July 26, 2005
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
April 12, 2002 - June 14, 2002
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
February 2, 1997 - April 26, 2000
GATEWAY INVESTMENT SERVICES, INC.
BD
CRD#: 31153
OAK PARK, IL
Past
January 1, 1990 - March 31, 1995
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
May 4, 1988 - November 9, 1988
CAL FED INVESTMENTS
BD
CRD#: 19631
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(4/24/2023)
IAR
California(4/25/2023)
RR
Maryland(1/8/2024)
RR
Nevada(1/8/2024)
RR
Oregon(5/9/2025)
RR
Texas(1/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Phone number
(913) 905-8116
Established
Missouri since 11/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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.
