Rebecca L. Lucia

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CRD#: 5870244

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rebecca Lynn Lucia, who also goes by Rebecca Lucia, Rebecca Lynn Wildman, was a registered financial professional .

Rebecca is a previously registered financial professional and started their career in finance in 2011. Rebecca had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Rebecca Lucia | Rebecca Lynn Wildman

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.

NAME: ASSET MANAGEMENT VENTURES (INVESTMENT-RELATED) ADDRESS: 2100 GENG ROAD, SUITE 200 PALO ALTO, CALIFORNIA 94303 BUSINESS TYPE: VENTURE CAPITAL FUND POSITION: CHIEF FINANCIAL OFFICER START DATE: 01/2010 HRS/MONTH: 60HRS HRS DURING SECURITIES TRADING/MONTH: 30HRS DUTIES: 1) LEADING ALL FUND RAISING EFFORTS FOR $150M+ FUND 2) PROVIDING EXTENSIVE LEGAL SUPPORT 3) DELIVERING FINANCIAL AND TAX REPORTING, MANAGING AUDIT AND VENDOR RELATIONSHIPS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 26, 2011 - March 29, 2022

SAXON SECURITIES LLC

RIA

CRD#: 155168

SAN FRANCISCO, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

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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Rebecca L. Lucia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAXON SECURITIES LLC

Primary Firm SEC Registration

SAXON SECURITIES LLC

State Registrations and Notice Filings

Exams

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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