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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-09-01
  • CA RA
    APPROVED
    Since 2020-09-01

Branch Locations

16789 Bernardo Center Dr, San Diego, CA 92128 • United States

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lucia Securities, Llc San Diego CA 03/2015 12/2020
Lpl Financial, Llc San Diego CA 09/2020 Present
  • 03/2015 → 12/2020
    Lucia Securities, Llc
    San Diego, CA
  • 09/2020 → Present
    San Diego, CA
Previous Registrations
  • 2015-03-18 → 2020-12-31
    Lucia Capital Group
    San Diego, CA
  • 2012-07-02 → 2015-01-12
    First Allied Advisory Services, Inc.
    San Diego, CA
  • 2007-01-26 → 2012-07-02
    First Allied Securities, Inc.
    San Diego, CA
    San Diego, CA
Other Businesses

1. 09/01/2020 - LUCIA CAPITAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ SAN DIEGO, CA 2. 09/01/2013 - RENTAL PROPERTY/ REAL ESTATE RENTAL/ INVESTMENT RELATED/ 0%/ 8645 JADE COAST DR, SAN DIEGO, CA 92126 3. 10/20/2021 - Lucia Securities & Lucia Wealth Services - BD shut down duties - Custodian of Records - 13520 Evening Creek Dr Ste 300 San Diego CA 92128 - Start Date 01/01/2021 - 1 Hour Per Month/ During Trading 4. 1/4/2022 - LCG Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 1/3/2022 - 80 Hours Per Month/3 Hours During Securities Trading. 5. 04/30/2025 - Lucia Management Company - Not Investment Related - Other - Business Service Provider - At Reported Business Location(s) - Start Date: 05/01/2025 - 5 Hours Per Month/2 Hours During Securities Trading. 6. 12/30/2025 - Quotient Advisor Partners - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2026 - 160 hours per month/ 110 hours during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-08-17
  • S63 Uniform Securities Agent State Law Examination
    1992-08-17
Other Names
  • Tiy Lynn Praus
  • Tiy Lynn Siemens

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