Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucia? Claim Your ProfileLucia Alicia Cruz is a financial advisor registered with Valic Financial Advisors, Inc. Lucia has been working in the financial industry since January 24, 2005. Lucia has a wide range of experience in the industry, having worked at several prominent firms such as J.P. Morgan Securities LLC, Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Lucia is currently registered with Valic Financial Advisors, Inc., in 51 states and is a licensed investment advisor in 49 states. Lucia is also registered as a Registered Representative with FINRA and the Securities Industry Essentials Examination. In addition to financial advising, Lucia also works as a photographer providing services such as portraits, event photography, and art prints.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Recommend wrap accounts to clients
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.
A percentage of the total value of assets under management is charged.
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2
TX
10/25/2023 - Present
Valic Financial Advisors, Inc. (HOUSTON TX)
TX
10/30/2018 - 10/11/2019
AIG CAPITAL SERVICES, INC. (HOUSTON TX)
TX
01/17/2017 - 11/07/2018
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
TX
09/06/2016 - 12/13/2016
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
12/07/2011 - 09/08/2016
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
TX
06/01/2009 - 12/12/2011
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
03/02/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
TX
09/29/2005 - 07/06/2006
WACHOVIA SECURITIES, LLC (HOUSTON TX)
NY
06/16/2005 - 08/09/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/18/2004 - 05/26/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 12/14/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/24/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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