Company Information

Get to know lucia securities, llc

Lucia Securities, L.L.C. was a U.S. broker-dealer registered with the Financial Industry Regulatory Authority (FINRA). It operated as the brokerage arm of Lucia Capital Group, a financial advisory and wealth management organization. The firm offered a range of investment products and securities to its clients. Founded by the Lucia family, the firm has a history linked to financial personality Raymond J. Lucia, Sr. The broker-dealer entity faced several regulatory actions during its operation and ceased its FINRA registration in June 2021. The associated advisory business continues to operate under the Lucia Capital Group brand.

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lucia securities, llc

United States

Founded in

2011 (15 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Regulated

Recommended

IUX

(2,283 reviews)

Mauritius

2015

(10 years)

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This company is currently Unproved.

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License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.