AdvisorOS Directory
Claim Profile
Unclaimed Profile
JL

Joseph Paul Lucia

JOSEPH P. LUCIA & ASSOCIATES, LLC·YORKTOWN HEIGHTS, New York
SIE, Series 7, Series 6619 years registeredJOSEPH P. LUCIA & ASSOCIATES, LLC
3505 HILL BLVD., YORKTOWN HEIGHTS, NY 10598CRD# 4428262Firm CRD# 147625

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Joseph Paul Lucia · YORKTOWN HEIGHTS, NY
Registration
CRD #4428262 · JOSEPH P. LUCIA & ASSOCIATES, LLC · 19 years registered
Brand Profile
Not yet started
01

Career History

JOSEPH P. LUCIA & ASSOCIATES, LLC
Aug 2010 – present
AMERIPRISE FINANCIAL SERVICES, INC.
Oct 2006 – Apr 2008
MELVILLE, NY
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 66
Registration record
First registered · October 3, 2006
Years registered · 19
03

Disclosure History

2012Customer Dispute·Settled
2009Customer Dispute·Denied
2009Customer Dispute·Denied
2009Customer Dispute·Denied
2008Customer Dispute·Denied
2008Customer Dispute·Denied
2008Customer Dispute·Settled
2008Customer Dispute·Settled
2008Employment Separation After Allegations

9 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
JOSEPH P. LUCIA & ASSOCIATES, LLC
CRD 147625 · SEC 801-76540
AUM
$310M
Regulatory assets under management
Employees
5
1,518 client accounts
Services offered by JOSEPH P. LUCIA & ASSOCIATES, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at JOSEPH P. LUCIA & ASSOCIATES, LLC →
Introduction

Speak with Joseph

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Joseph is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in YORKTOWN HEIGHTS?

Browse all registered financial advisors in YORKTOWN HEIGHTS, New York or claim this profile if it's yours.

Browse YORKTOWN HEIGHTS AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Joseph Paul Lucia offer?
Joseph Paul Lucia specializes in Financial Planning, Investment Management. Contact their office in YORKTOWN HEIGHTS, New York for a consultation.
What are Joseph Paul Lucia's credentials?
Joseph Paul Lucia is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Joseph Paul Lucia located?
Joseph Paul Lucia is based in YORKTOWN HEIGHTS, New York, working with JOSEPH P. LUCIA & ASSOCIATES, LLC. Their office serves clients in the YORKTOWN HEIGHTS metropolitan area and surrounding communities.
How does Joseph Paul Lucia charge for services?
Joseph Paul Lucia's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is JOSEPH P. LUCIA & ASSOCIATES, LLC?
JOSEPH P. LUCIA & ASSOCIATES, LLC has approximately 5 employees and manages $310M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in New York
NEW YORK (4737)ROCHESTER (141)PURCHASE (87)SYRACUSE (80)ALBANY (73)BUFFALO (72)GARDEN CITY (70)MELVILLE (67)PITTSFORD (65)WHITE PLAINS (60)
City Guides
NEW YORK GuideROCHESTER GuidePURCHASE GuideSYRACUSE GuideALBANY Guide
Research
Advisor Fees in New YorkNational Fee Analysis
Request removal of this profile