RAYMOND J. LUCIA COMPANIES, INC.
CRD #115670 SEC #801-61496 SAN DIEGO, CA 619-497-5555
SEC Registered
Total AUM
$187.5M
Discretionary
$187.5M
Employees
--
Clients
--
Accounts
2,505
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- May 5, 2010
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| FORKNER, SONDRA | I | CHIEF COMPLIANCE OFFICER | NA | |
| OCHS, THERESA, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OCHS, THERESA, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OCHS, THERESA, JEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OCHS, THERESA, JEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| OCHS, THERESA, JEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS, CHIEF COMPLIANCE OFFICER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SECRETARY, TREASURER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SECRETARY, TREASURER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS, CHIEF COMPLIANCE OFFICER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SECRETARY, TREASURER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | CHIEF COMPLIANCE OFFICER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SEC/TREAS, CHIEF COMPLIANCE OFFICER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SECRETARY, TREASURER | E | Control |
| LUCIA, RAYMOND, JOSEPH | I | PRESIDENT, SECRETARY, TREASURER | E | Control |
Registrations
Federal
IA
May 5, 2010 REGISTERED
Notice Filings (50)
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Address
13520 EVENING CREEK DRIVE NORTHSUITE 300
SAN DIEGO, CA 92128
United States
Phone: 619-497-5555