Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lucia? Claim Your ProfileLucia Lena is a financial professional with over 5 years of experience in the industry. Lucia has a strong background in securities and investment company products, having held positions at Wells Fargo Clearing Services, LLC, Santander Securities LLC, and J.P. Morgan Securities LLC. Lucia has experience working with a wide range of clients, including individuals, corporations, and institutions. Lucia holds Series 6, 7, 63, and 66 licenses and has been registered with FINRA since 2018.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
04/05/2023 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
MA
11/06/2019 - 07/19/2021
SANTANDER SECURITIES LLC (BOSTON MA)
PA
07/06/2018 - 10/09/2019
WELLS FARGO CLEARING SERVICES, LLC (SCRANTON PA)
BOTH
Issued 03/31/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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