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Questions Regarding the Partnership with LPL Financial

We are really excited to announce that LPL, the country’s largest independent broker-dealer firm, will be partnering with Lucia Capital Group later this year. A broker-dealer is a company that provides regulatory compliance and support to registered investment advisor firms, and acts as the buyer and seller of securities for its customers. In addition, LPL will also act as Lucia Capital Group’s clearing firm that will custody our brokerage and advisory assets.

If all of this behind-the-scenes technical stuff is a bit hard to understand, that’s okay, because for you, our clients, little will be changing. Lucia Capital Group will continue to operate as always as your independent financial planning firm. Your financial advisor, the Buckets Strategy®, your service and support team, Rick “the Professor” Plum, and the entire Lucia family will all remain the same.

Naturally, some things will be changing for us in the background, and in this week’s edition of Lucia Capital Group Weekly, Chairman and CEO Ray Lucia Jr. explains in further detail what will, and will not, be happening as we go forward. Watch the video for more information!

Important Information:

The information provided should not be considered specific tax, legal, or investment advice and is not specific to any individual’s personal circumstances. To the extent that this material concerns tax matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Each taxpayer should seek independent advice from a tax professional based on his or her individual circumstances. This material was gathered from sources believed to be reliable, however, its accuracy cannot be guaranteed.

Different types of investments and/or investment strategies involve varying levels of risk, and there can be no assurance that any specific investment or investment strategy (including the investments purchased and/or investment strategies devised by Lucia Capital Group (“LCG”)) will be either suitable or profitable for a client's or prospective client's portfolio, thus, investments may result in a loss of principal. Accordingly, no client or prospective client should assume that the presentation (or any component thereof) serves as the receipt of, or a substitute for, personalized advice from LCG or from any other investment professional.

You should always seek counsel of the appropriate advisor prior to making any investment decision. All investments are subject to risk including the loss of principal. This material was gathered from sources believed to be reliable, however, its accuracy cannot be guaranteed.

Raymond J. Lucia Jr. is chairman of Lucia Capital Group (“LCG”), a registered investment advisor and CEO of its affiliated broker-dealer, Lucia Securities, LLC (“LSL”), member FINRA/SIPC. Advisory services offered through LCG. Securities offered through LSL. Registration with the SEC does not confer any certain level of expertise or training. Rick Plum is a registered representative of, and offer securities through, LSL and offers advisory services offered through LCG. LPL Financial and RBC Correspondent Services are not affiliated with Lucia Capital Group or any of its subordinates.

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