Joseph S. Lucey

SECURED RETIREMENT ADVISORS

St Louis Park, MN 55416

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CRD#: 2568779

Professional summary

Joseph Scott Lucey, CFP® is a registered financial advisor currently at SECURED RETIREMENT ADVISORS, LLC located in St Louis Park, Minnesota.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

SECURED RETIREMENT ASSOCIATES, LLC - INVESTMENT RELATED - ST LOUIS PARK, MN - INSURANCE AGENCY - MANAGING MEMBER - 05/2007 - 100 HOURS/MONTH - 100/MONTH DURING TRADING HOURS - MR. LUCEY SELLS INSURANCE PRODUCTS THROUGH THIS COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Scott Lucey's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

February 11, 2014 - Present

SECURED RETIREMENT ADVISORS, LLC

Office #1: 6121 Excelsior Blvd, St Louis Park, MN 55416

RIA

CRD#: 144239

St Louis Park, MN

Past

October 22, 1999 - May 24, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 22, 1994 - December 10, 1999

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

MINNEAPOLIS, MN

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".

SECURED RETIREMENT ADVISORS, LLC

CRD#: 144239 / SEC#: 801-121760

RIA

Registered Investment Advisory firm - (7/14/2021 Approved)

Minnesota

Registered Investment Advisory firm - (8/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/23/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/28/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(2/11/2014)

IAR

Texas
(1/8/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/1994

General Securities Representative Examination

Current Firm

SECURED RETIREMENT ADVISORS, LLC

CRD#: 144239 / SEC#: 801-121760

RIA

Registered Investment Advisory firm - (7/14/2021 Approved)

Minnesota

Registered Investment Advisory firm - (8/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/23/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/28/2021 Terminated)

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Contact information

Main Address

6121 Excelsior Blvd, St Louis Park, MN 55416

Mailing Address

Phone number

(952) 460-3260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SECURED RETIREMENT ADVISORS, LLC ADV BROCHURE (2/9/2025)

Regulatory assets under management

Total Number of Accounts	1,832
AUM (Assets Under Management)	$ 228,187,558

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.

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Joseph S. Lucey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Scott Lucey's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURED RETIREMENT ADVISORS, LLC

PRUDENTIAL EQUITY GROUP, LLC

MILLER JOHNSON STEICHEN KINNARD, INC.

Primary Firm SEC Registration

SECURED RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/2007

Series 63

Date: 12/23/1994

Series 7

Date: 12/21/1994

Current Firm

SECURED RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURED RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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