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Leadership

Management Team

At Lucia Capital Group, our people are essential to the success of our clients and organization. It is our culture of teamwork and our commitment to innovation and client service that have helped this company grow as an organization. Success requires passion, continuous improvement, and commitment. We strive for excellence and act with integrity in everything we do.

Ray Lucia Jr.

Raymond J. Lucia Jr., CPA/PFS Chairman

As the chairman of Lucia Capital Group, Ray Lucia Jr. is responsible for overseeing the firm’s financial strategy, product design, and overall vision. He prides himself on providing a work environment that fosters growth and opportunity within a family-oriented culture, and he has dedicated his professional career to creating innovative products and services with the end goal of exceeding client expectations.

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Joe P. Lucia

Joseph P. Lucia President

As president of Lucia Capital Group, Joe P. Lucia is responsible for the ultimate satisfaction of the financial planning and investment management clients of one of the largest wealth advisory firms in the country. As the head of Lucia Wealth Services, Lucia Capital Group’s investment advisory arm, Joe manages over twenty advisors focused on executing The Bucket Strategy® for their clients’ portfolios and delivering proactive, comprehensive client service. He is responsible for advisor training, advisor recruiting, and the firm’s sales administration. As an experienced member of the executive management team, Joe is also a key contributor to the overall strategic business direction of Lucia Capital Group.

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Theresa Ochs

Theresa Ochs Chief Compliance Officer

As the chief compliance officer of Lucia Capital Group, Theresa Ochs is responsible for ongoing oversight of the compliance program. In this role, Theresa leads the firm’s risk management committee, acts as a regulatory contact for compliance-related matters, develops policies and procedures related to the firm’s compliance programs, and ensures that such policies are carried out and enforced.

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Tiy O'Neal

Tiy O’Neal President, Lucia Securities

As the president of Lucia Securities, Lucia Capital Group’s broker/dealer arm, Tiy O’Neal is directly involved in the strategic oversight of all broker/dealer activities, leads the acquisition transition team, plays an important role in client service efforts, and provides leadership and guidance to the compliance, supervision, and operational aspects of the organization.

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Rick Plum, Chief Financial Planning Officer

Richard Plum, CFP® Chief Financial Planning Officer

As the Chief Financial Planning Officer, Rick is responsible for the oversight and guidance of the firm’s wealth services. In this role, he is an invaluable resource to our wealth management team, advising on asset allocation strategies and helping clients design sophisticated financial, tax, and estate planning solutions.

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Joseph J. Lucia Chief Marketing Officer

As the chief marketing officer of Lucia Capital Group, Joe J. Lucia oversees the development and maintenance of the firm’s brand and lead generation strategies while also leading the firm’s marketing efforts. Joe is directly in charge of producing Lucia Capital Group’s TV and radio show content, which is distributed to more than 60 cities nationwide. He is also responsible for managing Bucket Strategy workshops and all social media content for the firm.

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Mark Scalzo

Mark Scalzo Chief Investment Officer

As the chief investment officer of Lucia Capital Group, Mark Scalzo is responsible for investment management, investment strategy creation, and research communications. He focuses on managing Bucket Strategy allocations across multiple risk and account size profiles using cutting-edge investment technology. Additionally, Mark performs investment product and platform due diligence and oversees investment platform representation for the media.

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Investment advisor representatives of Lucia Capital Group are also registered representatives of, and offer securities through, Lucia Securities, LLC, a registered broker/dealer, member FINRA/SIPC, and a subsidiary of Lucia Capital Group. Registration with the SEC does not imply a certain level of skill or training. Registered representatives of Lucia Capital Group only conduct business in the states where they are currently licensed.

Lucia Insurance Services, LLC, an affiliate of Lucia Securities, LLC, is licensed to offer insurance products (life, disability, long-term care, and annuities) in the following states: Arizona, California, Florida, Maryland, Minnesota, Nevada, Oregon, Pennsylvania, and Utah.

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