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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

RAYMOND JOSEPH LUCIA

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:61b14824-45fb-6fe0-3235-03dfc372fd3d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 18, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 14, 2001
First registration: Sep 18, 2001
Dual registered: yes, broker-dealer
Other names: RAYMOND J LUCIA
IAPD individual key: 4504365

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 1, 2020	n/a	yes	SAN DIEGO, CA	Current employment
PINHOOK CAPITAL, LLC	Former SEC adviser	Apr 1, 2013	Sep 30, 2020	no	SAN DIEGO, CA	Previous registration
LUCIA CAPITAL GROUP	Former SEC adviser	Apr 9, 2010	Oct 5, 2020	no	SAN DIEGO, CA	Previous registration
RJL FINANCIAL NETWORK, L.L.C.	n/a	Apr 19, 2004	Feb 22, 2006	no	OMAHA, NE	Previous registration
RAYMOND J. LUCIA COMPANIES, INC.	n/a	Nov 6, 2002	Nov 12, 2010	no	SAN DIEGO, CA	Previous registration
24-7 FINANCIAL	n/a	Sep 18, 2001	Nov 19, 2002	no	SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LUCIA CAPITAL GROUP	PINHOOK CAPITAL, LLC	Oct 5, 2020	Apr 1, 2013	-2,744	Firm change after gap	Other
PINHOOK CAPITAL, LLC	LPL FINANCIAL LLC	Sep 30, 2020	Sep 1, 2020	-29	Firm change	Other
RAYMOND J. LUCIA COMPANIES, INC.	RJL FINANCIAL NETWORK, L.L.C.	Nov 12, 2010	Apr 19, 2004	-2,398	Firm change after gap	Other
RJL FINANCIAL NETWORK, L.L.C.	LUCIA CAPITAL GROUP	Feb 22, 2006	Apr 9, 2010	1,507	Firm change after gap	Other
24-7 FINANCIAL	RAYMOND J. LUCIA COMPANIES, INC.	Nov 19, 2002	Nov 6, 2002	-13	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
152396:158509:CA:2020-10-05	Oct 5, 2020	Apr 1, 2013	SAN DIEGO, CA	Firm change after gap
158509:6413:CA:2020-09-30	Sep 30, 2020	Sep 1, 2020	SAN DIEGO, CA	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 1, 2020 to presentfactForm ADV
→ LUCIA CAPITAL GROUPRegistered adviserregistration: previous registration
Apr 9, 2010 to Oct 5, 2020factForm ADV
→ PINHOOK CAPITAL, LLCRegistered adviserregistration: previous registration
Apr 1, 2013 to Sep 30, 2020factForm ADV
→ RAYMOND J. LUCIA COMPANIES, INC.Registered adviserregistration: previous registration
Nov 6, 2002 to Nov 12, 2010factForm ADV
→ RJL FINANCIAL NETWORK, L.L.C.Registered adviserregistration: previous registration
Apr 19, 2004 to Feb 22, 2006factForm ADV
→ 24-7 FINANCIALRegistered adviserregistration: previous registration
Sep 18, 2001 to Nov 19, 2002factForm ADV

Dated events

No dated event names this entity yet.