Joseph P. Lucia
STRATEGIC ADVISERS LLC | Financial Consultant
CASTLE ROCK, CO
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CRD#: 5156264
Professional summary
Joseph P. Lucia, who also goes by Joseph P Lucia, Joseph Patrick Lucia, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Castle Rock, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 9 firms and has passed the Series 66, Series 65, SIE and Series 7 exams.
Biography
Over the past decade and a half I have had the opportunity and pleasure to help clients navigate their personal journey to and throughout retirement. I'm passionate about the financial planning process, the financial industry and most importantly, building lasting relationships with my clients.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph P Lucia | Joseph Patrick 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph P. Lucia'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®
NoneEducation
Colorado State University
Bachelor of Business Administration - Management Concentration, Marketing Concentration
2006
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 6501 S Fiddlers Green Circle Ste 300 - 600, Greenwood Village, CO 80111-5039RIA
CRD#: 104555
CASTLE ROCK, CO
Current
March 12, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932BD
CRD#: 7784
Greenwood Village, CO
Past
March 23, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past
July 15, 2019 - March 3, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Greenwood Village, CO
Past
August 24, 2016 - June 3, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
October 10, 2014 - September 15, 2015
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DELRAY BEACH, FL
Past
October 10, 2014 - September 15, 2015
CURIAN CLEARING, LLC
BD
CRD#: 132938
FRANKLIN, TN
Past
February 20, 2013 - September 9, 2014
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
December 4, 2007 - September 9, 2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
August 16, 2006 - October 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DENVER, CO
Past
July 31, 2006 - October 18, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
DENVER, CO
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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
Alabama(3/22/2021)
RR
Alaska(3/22/2021)
RR
Arizona(3/22/2021)
RR
Arkansas(3/22/2021)
RR
California(3/22/2021)
RR
Colorado(3/12/2021)
IAR
Colorado(3/31/2025)
RR
Connecticut(3/22/2021)
RR
Delaware(3/22/2021)
RR
District of Columbia(3/22/2021)
RR
Florida(3/22/2021)
RR
Georgia(3/22/2021)
RR
Hawaii(3/22/2021)
RR
Idaho(3/22/2021)
RR
Illinois(3/22/2021)
RR
Indiana(3/22/2021)
RR
Iowa(3/22/2021)
RR
Kansas(3/22/2021)
RR
Kentucky(3/22/2021)
RR
Louisiana(3/22/2021)
RR
Maine(3/22/2021)
RR
Maryland(3/22/2021)
RR
Massachusetts(3/22/2021)
RR
Michigan(3/22/2021)
RR
Minnesota(3/22/2021)
RR
Mississippi(3/22/2021)
RR
Missouri(3/22/2021)
RR
Montana(3/22/2021)
RR
Nebraska(3/22/2021)
RR
Nevada(3/22/2021)
RR
New Hampshire(3/22/2021)
RR
New Jersey(3/22/2021)
RR
New Mexico(3/22/2021)
RR
New York(3/22/2021)
RR
North Carolina(3/22/2021)
RR
North Dakota(3/22/2021)
RR
Ohio(3/23/2021)
RR
Oklahoma(3/22/2021)
RR
Oregon(3/22/2021)
RR
Pennsylvania(3/22/2021)
RR
Puerto Rico(3/22/2021)
RR
Rhode Island(3/22/2021)
RR
South Carolina(3/22/2021)
RR
South Dakota(3/22/2021)
RR
Tennessee(3/22/2021)
RR
Texas(3/22/2021)
IAR
Texas(3/31/2025)
RR
Utah(3/22/2021)
RR
Vermont(3/22/2021)
RR
Virgin Islands(3/22/2021)
RR
Virginia(3/22/2021)
RR
Washington(3/22/2021)
RR
West Virginia(3/22/2021)
RR
Wisconsin(3/22/2021)
RR
Wyoming(3/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Castle Rock, COTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
