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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Anthony Lucia is a financial advisor with over 39 years of experience in the industry. Mark currently works at Morgan Stanley and is registered with the state of California as an Investment Advisor Representative and a Registered Representative. Mark has held positions at a number of firms over the course of their career, including Citigroup Global Markets Inc. and Lehman Brothers Inc. Mark has a broad range of experience, including securities, commodities, and investment advisory services. Mark has taken and passed the Series 3, 7, and 63 exams, as well as the Uniform Investment Adviser Law Examination (Series 65) and the Securities Industry Essentials Examination (SIE). Mark is also registered in 28 other states as a Registered Representative and an Investment Advisor Representative.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/19/2020 - Present
Morgan Stanley (Carlsbad CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CARLSBAD CA)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/26/1982 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 07/17/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/1982
Series 3 - National Commodity Futures Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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