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Managing Partner, Chief Compliance Officer, Managing Member · Saxon Securities LLC

Ned F. Lucia

CRD 5582090 · Named on Form ADV at one SEC-registered adviser

At a glance

Saxon Securities LLC, an SEC-registered asset manager based in SAN Francisco, CA with $95 million in regulatory assets, lists Ned F. Lucia on its Form ADV as Managing Partner, Chief Compliance Officer, Managing Member, a control person.

Firms and roles

  • Saxon Securities LLCManaging Partner, Chief Compliance Officer, Managing MemberAsset manager · SAN Francisco, CA · $95M in regulatory assets

AtlasMembers

Ned’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 Ned’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.