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Timothy Lucio

SAXON FINANCIAL GROUP
Houston, TX 77027
Some features on this profile are disabled
CRD#: 6825765
TL

Professional summary

Timothy Lucio, who also goes by Tim Lucio, is a registered financial advisor currently at SAXON FINANCIAL GROUP located in Houston, Texas.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Timothy has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tim Lucio

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)Name of Business : Saxon Financial Group Address: Houston, TX Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Employee Investment Related:No Start Date: 09/17/2018 Hours per month devoted to this business: 160 Hours per month devoted to this business during trading hours: 120 Description of duties: Financial Planning, Investments, Trading and Operations Support

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Lucio'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

February 22, 2021 - Present

SAXON FINANCIAL GROUP

Office #1: 1177 West Loop S Suite 1825, Houston, TX 77027
RIA
CRD#: 311687
Houston, TX
Past

March 11, 2019 - April 7, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
HOUSTON, TX
Past

September 19, 2018 - April 7, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
HOUSTON, TX
Past

December 18, 2017 - February 2, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
HOUSTON, TX

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".
SF
SAXON FINANCIAL GROUP
ERDIL FINANCIAL GROUP | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP

CRD#: 311687 / SEC#: 801-120283

RIA
Registered Investment Advisory firm - (2/9/2021 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.

Highlighted states indicate IAR registrations

IAR
Texas
(2/22/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/23/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/27/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2017
General Securities Representative Examination

Current Firm

SF
SAXON FINANCIAL GROUP
ERDIL FINANCIAL GROUP | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP

CRD#: 311687 / SEC#: 801-120283

RIA
Registered Investment Advisory firm - (2/9/2021 Approved)
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Contact information

Main Address
1177 West Loop S Suite 1825, Houston, TX 77027
Mailing Address
Phone number
(713) 425-5340
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SAXON FINANCIAL GROUP DISCLOSURE BROCHURE (9/30/2025)

Regulatory assets under management

Total Number of Accounts1,713
AUM (Assets Under Management)$ 616,477,568

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

SAXON FINANCIAL GROUP

CRD#: 311687Houston, TX 77027

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