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Managing Principal/chief Compliance Officer · Joseph P. Lucia & Associates, LLC

Joseph P. Lucia

CRD 4428262 · Named on Form ADV at one SEC-registered adviser

At a glance

Joseph P. Lucia & Associates, LLC, an SEC-registered wealth manager based in Yorktown Heights, NY with $388 million in regulatory assets, lists Joseph P. Lucia on its Form ADV as Managing Principal/chief Compliance Officer, a control person.

Firms and roles

AtlasMembers

Joseph’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Joseph’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.