Ned F. Lucia

SAXON SECURITIES

San Francisco, CA 94080

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CRD#: 5582090

Professional summary

Ned Francis Lucia is a registered financial advisor currently at SAXON SECURITIES LLC located in San Francisco, California.

Ned is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Ned has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ned Francis 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

January 26, 2011 - Present

SAXON SECURITIES LLC

Office #1: 611 Gateway Boulevard Suite 120 #1003, San Francisco, CA 94080

RIA

CRD#: 155168

San Francisco, CA

Past

February 16, 2010 - November 17, 2010

STRUCTURAL

RIA

CRD#: 140134

WOODSIDE, CA

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".

SAXON SECURITIES LLC

CRD#: 155168 / SEC#: 801-79118

RIA

Registered Investment Advisory firm - (1/28/2014 Approved)

California

Registered Investment Advisory firm - (3/28/2014 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

California
(1/26/2011)

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: 1/19/2011

Uniform Investment Adviser Law Examination

Current Firm

SAXON SECURITIES LLC

CRD#: 155168 / SEC#: 801-79118

RIA

Registered Investment Advisory firm - (1/28/2014 Approved)

California

Registered Investment Advisory firm - (3/28/2014 Terminated)

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Contact information

Main Address

611 Gateway Boulevard Suite 120 #1003, San Francisco, CA 94080

Mailing Address

Phone number

(415) 820-5312

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	151
AUM (Assets Under Management)	$ 137,174,793

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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Ned F. Lucia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ned Francis Lucia's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAXON SECURITIES LLC

STRUCTURAL

Primary Firm SEC Registration

SAXON SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/19/2011

Current Firm

SAXON SECURITIES LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAXON SECURITIES LLC

TRUST BUT VERIFY

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