Joseph P. Lucia

JOSEPH P. LUCIA & ASSOCIATES

Yorktown Heights, NY 10598

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CRD#: 4428262

Professional summary

Joseph Paul Lucia, who also goes by Joseph P. Lucia, is a registered financial advisor currently at JOSEPH P. LUCIA & ASSOCIATES, LLC located in Yorktown Heights, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Yorktown Heights, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph P. Lucia

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.

1) Ash Brokerage-Investment related-Fort Wayne, IN-Rep-1/2009-Uses Ash brokerage for insurance & annuity business 2) Joseph P. Lucia & Associates-Investment related-Yorktown Heights, NY-Investment Advisory-07/2008-President-Designs,implements and manages financial solutions for individuals, families & small businesses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Paul Lucia'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®

None

Experience

Current

August 9, 2010 - Present

JOSEPH P. LUCIA & ASSOCIATES, LLC

Office #1: 3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598

RIA

CRD#: 147625

Yorktown Heights, NY

Current

February 12, 2016 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598

CRD#: 35747

Yorktown Heights, NY

Past

November 24, 2009 - February 17, 2016

GREAT AMERICAN INVESTORS, INC.

CRD#: 28489

Yorktown Heights, NY

Past

March 19, 2008 - September 5, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WHITE PLAINS, NY

Past

October 3, 2006 - April 10, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MELVILLE, NY

Past

November 13, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 13, 2001 - April 10, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MELVILLE, NY

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".

JOSEPH P. LUCIA & ASSOCIATES, LLC

111 NAME | JOSEPH P. LUCIA & ASSOCIATES, LLC

CRD#: 147625 / SEC#: 801-76540

RIA

Registered Investment Advisory firm - (4/24/2012 Approved)

Connecticut

Registered Investment Advisory firm - (5/16/2012 Terminated)

Florida

Registered Investment Advisory firm - (5/16/2012 Terminated)

New York

Registered Investment Advisory firm - (5/16/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2012 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.

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

Colorado
(10/10/2024)

Connecticut
(2/16/2016)

Florida
(2/12/2016)

Indiana
(10/10/2024)

New Jersey
(2/12/2016)

New York
(2/12/2016)

IAR

New York
(6/7/2021)

Ohio
(10/9/2024)

Pennsylvania
(4/27/2020)

Tennessee
(10/10/2024)

IAR

Texas
(11/8/2010)

Virginia
(2/12/2016)

Washington
(10/8/2024)

Wisconsin
(10/10/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/20/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JOSEPH P. LUCIA & ASSOCIATES, LLC

111 NAME | JOSEPH P. LUCIA & ASSOCIATES, LLC

CRD#: 147625 / SEC#: 801-76540

RIA

Registered Investment Advisory firm - (4/24/2012 Approved)

Connecticut

Registered Investment Advisory firm - (5/16/2012 Terminated)

Florida

Registered Investment Advisory firm - (5/16/2012 Terminated)

New York

Registered Investment Advisory firm - (5/16/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2012 Terminated)

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Contact information

Main Address

3505 Hill Blvd. Suite J, Yorktown Heights, NY 10598

Mailing Address

Phone number

(914) 352-6600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOSEPH P. LUCIA & ASSOCIATES, LLC ADV BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,818
AUM (Assets Under Management)	$ 303,293,681

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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Firm Stability Insights

Joseph P. Lucia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Paul Lucia's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

GREAT AMERICAN INVESTORS, INC.

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

JOSEPH P. LUCIA & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2001

FINRA

Current Firm

JOSEPH P. LUCIA & ASSOCIATES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOSEPH P. LUCIA & ASSOCIATES, LLC

TRUST BUT VERIFY

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