Joseph P. Lucia & Associates, LLC

Joseph P. Lucia & Associates, LLC is a Registered Investment Adviser based in Yorktown Heights, New York, providing investment advisory services since 2008. The firm is organized as a limited liability company under the laws of the State of New York. Joseph P. Lucia serves as the Managing Principal and Chief Compliance Officer. The firm specializes in wealth management services, incorporating financial planning, investment portfolio management, insurance planning, and estate planning. They offer discretionary portfolio management services tailored to meet clients' needs and investment objectives. The firm charges an annual fee based on a percentage of assets under management, with fees billed quarterly in arrears. Financial planning and consulting services are also offered for fixed fees, negotiable based on complexity and scope. Joseph P. Lucia & Associates does not participate in wrap fee programs and may recommend third-party money managers to clients. The firm's investment strategies include fundamental analysis, charting and technical analysis, cyclical analysis, long-term and short-term purchases, options writing, margin transactions, and more. Clients have the option to grant discretionary authority over their accounts, allowing the firm to make investment decisions without prior approval. The firm does not vote proxies on behalf of clients and does not determine class action lawsuit eligibility for clients. Joseph P. Lucia & Associates prioritizes client privacy and maintains strict confidentiality of nonpublic personal information. Clients receive a copy of the firm's privacy notice annually.