Frank Lucia
Frank Lucia is a registered investment advisor at Esi Financial Advisors, based in Montpelier, VT, with 31 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,116 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
ESI Financial Advisors offers investment management through various programs. Fees vary depending on the program chosen and can include platform fees, strategist fees, and service fees.
ESI Illuminations programs charge a platform fee between 0.26% and 0.45% annually, plus strategist fees (0.02%-1.00%) and EFA's service fee (0-2.00%).
American Funds and Schwab Retirement Advisor Services have tiered fees, up to 1.00% annually on the first $1M, decreasing to 0.35% on amounts over $10M.
AssetMark fees are negotiated with the advisor, not to exceed 1.5% annually.
SEI fees are also negotiated, not to exceed 1.75% annually, plus a 0.05% administrative fee.
Location
One National Life Drive, Montpelier, VT, 05604
Get directionsHistory
Regulatory History (4)
Customer Dispute
July 2003Regulatory
December 1999Regulatory
March 1997Customer Dispute
May 1996Other Business ActivitiesSells Insurance
Frank works as an insurance agent for Worthington Financial Partners, dedicating his full time during trading hours. This activity is investment-related.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.Broker
Previous Registrations
1717 Capital Management CompanyBroker
Kaufman Bros., L.P.Broker
Weatherly Securities CorporationBroker
Continental Broker-Dealer CORP.Broker
Americorp Securities, INC.Broker
A. R. Baron & CO., INC.Broker
Gruntal & CO. IncorporatedBroker
A. R. Baron & CO., INC.Broker
State Registrations30 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.