Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Lucia is a financial professional with over 30 years of experience in the securities industry. Frank has a strong background in providing investment advice and financial planning services to a wide range of clients, including individuals, corporations, and retirement plans. Frank is currently registered with Equity Services, Inc. and holds a Series 7, 24, 63 and 99TO. Frank previously worked for several other financial institutions, including 1717 Capital Management Company, Kaufman Bros., L.P., Weatherly Securities Corporation and Continental Broker-Dealer Corp. Frank specializes in providing investment advice, financial planning and portfolio management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
VT
01/15/2025 - Present
Equity Services, Inc. (MONTPELIER VT)
DE
01/10/2002 - 04/24/2006
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
NY
10/27/1998 - 04/02/2001
KAUFMAN BROS., L.P. (NEW YORK NY)
NY
06/19/1997 - 10/14/1998
WEATHERLY SECURITIES CORPORATION (NEW YORK NY)
NY
03/14/1997 - 05/13/1997
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
NY
11/09/1995 - 03/04/1997
AMERICORP SECURITIES, INC. (NEW YORK NY)
NY
01/01/1994 - 11/13/1995
A. R. BARON & CO., INC. (NEW YORK NY)
NY
07/08/1993 - 01/01/1994
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
01/25/1993 - 07/24/1993
A. R. BARON & CO., INC. (NEW YORK NY)
BC
Issued 01/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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