JL
JL
Joseph Lucia
23 Years of Experience
Yorktown Heights, NY
9 DisclosuresBrokerSells Insurance
Joseph Lucia is a registered investment advisor, based in Yorktown Heights, NY, with 23 years of industry experience.
Location
3505 Hill Blvd., Suite J, Yorktown Heights, NY, 10598
Get directionsHistory
Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2012Settled
Customer Dispute
November 2009Denied
Customer Dispute
September 2009Denied
Customer Dispute
March 2009Denied
Customer Dispute
October 2008Denied
Customer Dispute
September 2008Settled
Employment Separation After Allegations
August 2008Customer Dispute
August 2008Denied
Customer Dispute
June 2008Settled
Other Business ActivitiesSells Insurance
Joseph uses Ash Brokerage for insurance and annuity business since 2009. He is also the President of Joseph P. Lucia & Associates, where he designs, implements, and manages financial solutions for individuals, families, and small businesses since 2008.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
February 2016 - Present · 10 yrs 3 mos
Joseph P. Lucia & Associates, LLC
August 2010 - Present · 15 yrs 9 mos
Previous Registrations
Great American Investors, INC.Broker
November 2009 - February 2016 · 6 yrs 3 mos
Metlife Securities INC.Broker
March 2008 - September 2008 · 6 mos
Ameriprise Financial Services, INC.
October 2006 - April 2008 · 1 yr 6 mos
Ameriprise Financial Services, INC.Broker
November 2001 - April 2008 · 6 yrs 5 mos
Ids Life Insurance CompanyBroker
November 2001 - July 2006 · 4 yrs 8 mos
State Registrations13 states
COCTFLINNJNYOHPATNTXVAWAWI
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.