SAXON SECURITIES LLC

CRD #155168 SEC #801-79118 SAN FRANCISCO, CA 415-820-5312

SEC Registered

Total AUM

$137.2M

Discretionary

$137.2M

Employees

Clients

Accounts

151

Firm Details

Organization Type: Limited Liability Company
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 26, 2025
Branch Offices: 0

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
LUCIA, NED, F	I	CEO, MANAGING MEMBER	D	Control
LUCIA, NED, F	I	CEO, MANAGING MEMBER	D	Control
LUCIA, NED, F	I	MANAGING PARTNER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, NED, FRANCIS	I	MANAGING PARTNER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	D	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	CHIEF FINANCIAL OFFICER, MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	MANAGING MEMBER	C	Control
LUCIA, REBECCA, LYNN	I	MANAGING MEMBER	C	Control

Registrations

Federal

Mar 26, 2025 REGISTERED

Notice Filings (1)

Address

611 GATEWAY BOULEVARD
SUITE 120 #1003
SAN FRANCISCO, CA 94080
United States

Phone: 415-820-5312