Chief Compliance Officer

0001580642-19-004674.txt : 20191009 0001580642-19-004674.hdr.sgml : 20191009 20191009144238 ACCESSION NUMBER: 0001580642-19-004674 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191009 DATE AS OF CHANGE: 20191009 EFFECTIVENESS DATE: 20191009 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lucia Wealth Services, LLC CENTRAL INDEX KEY: 0001730471 IRS NUMBER: 271742056 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18394 FILM NUMBER: 191144333 BUSINESS ADDRESS: STREET 1: 13520 EVENING CREEK DRIVE N STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92128 BUSINESS PHONE: 800-644-1150 MAIL ADDRESS: STREET 1: 13520 EVENING CREEK DRIVE N STREET 2: SUITE 300 CITY: SAN DIEGO STATE: CA ZIP: 92128 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001730471 XXXXXXXX 09-30-2019 09-30-2019 false Lucia Wealth Services, LLC

13520 Evening Creek Drive N Suite 300 San Diego CA 92128

13F HOLDINGS REPORT 028-18394 N Viktoria Palermo Chief Compliance Officer 800-644-1150-1277 /s/ Viktoria Palermo San Diego CA 10-09-2019 0 165 300387 INFORMATION TABLE 2 infotable.xml SPDR SERIES TRUST NUVEEN BRC MUNIC 78468R721 722 14251 SH SOLE 0 0 14251 WISDOMTREE TR US MIDCAP DIVID 97717W505 421 11600 SH SOLE 0 0 11600 PROCTER & GAMBLE CO COM 742718109 29 236 SH SOLE 0 0 236 HEALTHCARE TR AMER INC CL A NEW 42225P501 15 500 SH SOLE 0 0 500 SPDR SERIES TRUST PORTFLI INTRMDIT 78464A672 3966 126827 SH SOLE 0 0 126827 ISHARES TR SELECT DIVID ETF 464287168 1072 10519 SH SOLE 0 0 10519 PEPSICO INC COM 713448108 38 276 SH SOLE 0 0 276 MCCORMICK & CO INC COM NON VTG 579780206 5847 37406 SH SOLE 0 0 37406 SPDR SERIES TRUST PORTFLI MORTGAGE 78464A383 356 13570 SH SOLE 0 0 13570 XILINX INC COM 983919101 1082 11284 SH SOLE 0 0 11284 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 272 5526 SH SOLE 0 0 5526 ADVISORSHARES TR RANGER EQUITY BE 00768Y883 80 12229 SH SOLE 0 0 12229 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 1559 76803 SH SOLE 0 0 76803 KIMBERLY CLARK CORP COM 494368103 13043 91818 SH SOLE 0 0 91818 SOUTHERN CO COM 842587107 56 910 SH SOLE 0 0 910 ISHARES INC MLT FCTR EMG MKT 46434G889 5053 123597 SH SOLE 0 0 123597 ISHARES TR S&P 500 GRWT ETF 464287309 18 100 SH SOLE 0 0 100 DISNEY WALT CO COM DISNEY 254687106 1089 8357 SH SOLE 0 0 8357 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 5283 99191 SH SOLE 0 0 99191 ISHARES TR SHRT NAT MUN ETF 464288158 1801 16906 SH SOLE 0 0 16906 ISHARES GOLD TRUST ISHARES 464285105 4659 330420 SH SOLE 0 0 330420 ISHARES TR RUSSELL 2000 ETF 464287655 54 355 SH SOLE 0 0 355 JOHNSON & JOHNSON COM 478160104 17072 131950 SH SOLE 0 0 131950 AMERICAN FIN TR INC COM CLASS A 02607T109 77 5516 SH SOLE 0 0 5516 CISCO SYS INC COM 17275R102 57 1144 SH SOLE 0 0 1144 VANGUARD GROUP DIV APP ETF 921908844 1599 13369 SH SOLE 0 0 13369 FIRST TR VALUE LINE DIVID IN SHS 33734H106 355 10168 SH SOLE 0 0 10168 AMERICAN ELEC PWR CO INC COM 025537101 42 448 SH SOLE 0 0 448 MERCK & CO INC COM 58933Y105 2285 27150 SH SOLE 0 0 27150 ALTRIA GROUP INC COM 02209S103 11 275 SH SOLE 0 0 275 TARGET CORP COM 87612E106 606 5669 SH SOLE 0 0 5669 ALPHABET INC CAP STK CL A 02079K305 139 114 SH SOLE 0 0 114 DELTA AIR LINES INC DEL COM NEW 247361702 1382 23997 SH SOLE 0 0 23997 ROCKWELL AUTOMATION INC COM 773903109 6 36 SH SOLE 0 0 36 AMAZON COM INC COM 023135106 368 212 SH SOLE 0 0 212 VERIZON COMMUNICATIONS INC COM 92343V104 57 944 SH SOLE 0 0 944 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 574 18614 SH SOLE 0 0 18614 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 1 33 SH SOLE 0 0 33 FS KKR CAPITAL CORP COM 302635107 253 43371 SH SOLE 0 0 43371 ALPS ETF TR ALERIAN MLP 00162Q866 23 2474 SH SOLE 0 0 2474 COLONY CR REAL ESTATE INC COM CL A 19625T101 129 8927 SH SOLE 0 0 8927 ISHARES TR PFD AND INCM SEC 464288687 38 1000 SH SOLE 0 0 1000 MICROSOFT CORP COM 594918104 15501 111492 SH SOLE 0 0 111492 GLOBAL NET LEASE INC COM NEW 379378201 38 1959 SH SOLE 0 0 1959 SEMPRA ENERGY COM 816851109 23 156 SH SOLE 0 0 156 CLOROX CO DEL COM 189054109 6108 40221 SH SOLE 0 0 40221 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 306 9957 SH SOLE 0 0 9957 COMCAST CORP NEW CL A 20030N101 788 17476 SH SOLE 0 0 17476 FLEXSHARES TR QUALT DIVD IDX 33939L860 95 2100 SH SOLE 0 0 2100 ISHARES TR MULTIFACTOR USA 46434V282 7857 246149 SH SOLE 0 0 246149 AMERICAN EXPRESS CO COM 025816109 2135 18049 SH SOLE 0 0 18049 AFLAC INC COM 001055102 718 13730 SH SOLE 0 0 13730 INTERNATIONAL BUSINESS MACHS COM 459200101 50 345 SH SOLE 0 0 345 WELLS FARGO CO NEW COM 949746101 5 104 SH SOLE 0 0 104 AUTOMATIC DATA PROCESSING IN COM 053015103 11851 73419 SH SOLE 0 0 73419 STARBUCKS CORP COM 855244109 142 1610 SH SOLE 0 0 1610 SELECT SECTOR SPDR TR ENERGY 81369Y506 64 1080 SH SOLE 0 0 1080 PREFERRED APT CMNTYS INC COM 74039L103 89 6160 SH SOLE 0 0 6160 ZYNGA INC CL A 98986T108 96 16492 SH SOLE 0 0 16492 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 378 1387 SH SOLE 0 0 1387 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 209 1924 SH SOLE 0 0 1924 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 16 386 SH SOLE 0 0 386 CROWN CASTLE INTL CORP NEW COM 22822V101 2140 15397 SH SOLE 0 0 15397 VISA INC COM CL A 92826C839 540 3137 SH SOLE 0 0 3137 UNITED TECHNOLOGIES CORP COM 913017109 481 3523 SH SOLE 0 0 3523 EXXON MOBIL CORP COM 30231G102 91 1291 SH SOLE 0 0 1291 UNITED PARCEL SERVICE INC CL B 911312106 515 4301 SH SOLE 0 0 4301 UNITEDHEALTH GROUP INC COM 91324P102 68 311 SH SOLE 0 0 311 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1559 5 SH SOLE 0 0 5 FIRST TR EXCH TRADED FD III HORIZON DMST ETF 33739P889 10047 364811 SH SOLE 0 0 364811 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 697 11630 SH SOLE 0 0 11630 WASTE MGMT INC DEL COM 94106L109 23 200 SH SOLE 0 0 200 ABBOTT LABS COM 002824100 13 161 SH SOLE 0 0 161 APTIV PLC SHS G6095L109 1084 12404 SH SOLE 0 0 12404 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1228 11964 SH SOLE 0 0 11964 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 19 300 SH SOLE 0 0 300 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1022 5314 SH SOLE 0 0 5314 AT&T INC COM 00206R102 28 730 SH SOLE 0 0 730 ARISTA NETWORKS INC COM 040413106 670 2803 SH SOLE 0 0 2803 ISHARES TR MSCI EMG MKT ETF 464287234 49 1200 SH SOLE 0 0 1200 HERSHEY CO COM 427866108 16437 106050 SH SOLE 0 0 106050 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1675 8050 SH SOLE 0 0 8050 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1843 32465 SH SOLE 0 0 32465 YANDEX N V SHS CLASS A N97284108 995 28408 SH SOLE 0 0 28408 S&P GLOBAL INC COM 78409V104 690 2815 SH SOLE 0 0 2815 UNION PACIFIC CORP COM 907818108 613 3785 SH SOLE 0 0 3785 INVESCO ACTIVELY MANAGD ETF VAR RATE INVT 46090A879 7529 302497 SH SOLE 0 0 302497 KINDER MORGAN INC DEL COM 49456B101 781 37875 SH SOLE 0 0 37875 LOCKHEED MARTIN CORP COM 539830109 784 2009 SH SOLE 0 0 2009 MOLSON COORS BREWING CO CL B 60871R209 6001 104372 SH SOLE 0 0 104372 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 5948 503219 SH SOLE 0 0 503219 REALITY SHS ETF TR DIVS ETF 75605A108 3694 141465 SH SOLE 0 0 141465 QUANTA SVCS INC COM 74762E102 1338 35409 SH SOLE 0 0 35409 INTEL CORP COM 458140100 19 378 SH SOLE 0 0 378 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 172 2800 SH SOLE 0 0 2800 TEXAS INSTRS INC COM 882508104 774 5986 SH SOLE 0 0 5986 CERNER CORP COM 156782104 1049 15385 SH SOLE 0 0 15385 COCA COLA CO COM 191216100 445 8170 SH SOLE 0 0 8170 CONOCOPHILLIPS COM 20825C104 126 2219 SH SOLE 0 0 2219 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 720 5747 SH SOLE 0 0 5747 SALESFORCE COM INC COM 79466L302 1309 8820 SH SOLE 0 0 8820 ISHARES TR RUS 2000 GRW ETF 464287648 47 245 SH SOLE 0 0 245 ISHARES TR MULTIFACTOR INTL 46434V274 708 27751 SH SOLE 0 0 27751 SPDR GOLD TRUST GOLD SHS 78463V107 9 62 SH SOLE 0 0 62 TRAVELERS COMPANIES INC COM 89417E109 2038 13706 SH SOLE 0 0 13706 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 31 352 SH SOLE 0 0 352 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 53 3500 SH SOLE 0 0 3500 SPDR S&P 500 ETF TR TR UNIT 78462F103 1355 4565 SH SOLE 0 0 4565 MASTERCARD INC CL A 57636Q104 1385 5100 SH SOLE 0 0 5100 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 792 7307 SH SOLE 0 0 7307 REALTY INCOME CORP COM 756109104 82 1070 SH SOLE 0 0 1070 W P CAREY INC COM 92936U109 192 2142 SH SOLE 0 0 2142 3M CO COM 88579Y101 88 537 SH SOLE 0 0 537 ISHARES TR MULTIFACTOR USA 46434V290 9049 226845 SH SOLE 0 0 226845 MCDONALDS CORP COM 580135101 111 518 SH SOLE 0 0 518 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 263 2921 SH SOLE 0 0 2921 HONEYWELL INTL INC COM 438516106 477 2819 SH SOLE 0 0 2819 CHEVRON CORP NEW COM 166764100 148 1247 SH SOLE 0 0 1247 ICON PLC SHS G4705A100 1153 7828 SH SOLE 0 0 7828 ALPHABET INC CAP STK CL C 02079K107 10082 8271 SH SOLE 0 0 8271 ECOLAB INC COM 278865100 13 65 SH SOLE 0 0 65 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 112 4000 SH SOLE 0 0 4000 MONDELEZ INTL INC CL A 609207105 7402 133810 SH SOLE 0 0 133810 INVESCO QQQ TR UNIT SER 1 46090E103 63 335 SH SOLE 0 0 335 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 13468 108241 SH SOLE 0 0 108241 GENERAL ELECTRIC CO COM 369604103 2 200 SH SOLE 0 0 200 WELLTOWER INC COM 95040Q104 29 316 SH SOLE 0 0 316 ULTA BEAUTY INC COM 90384S303 936 3736 SH SOLE 0 0 3736 CYBERARK SOFTWARE LTD SHS M2682V108 1355 13574 SH SOLE 0 0 13574 EDWARDS LIFESCIENCES CORP COM 28176E108 177 806 SH SOLE 0 0 806 ISHARES TR CORE S&P500 ETF 464287200 241 808 SH SOLE 0 0 808 JPMORGAN CHASE & CO COM 46625H100 119 1007 SH SOLE 0 0 1007 ADOBE INC COM 00724F101 1309 4737 SH SOLE 0 0 4737 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 366 8913 SH SOLE 0 0 8913 ABBVIE INC COM 00287Y109 751 9919 SH SOLE 0 0 9919 FACEBOOK INC CL A 30303M102 57 318 SH SOLE 0 0 318 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2930 19405 SH SOLE 0 0 19405 KKR & CO INC CL A 48251W104 560 20872 SH SOLE 0 0 20872 PFIZER INC COM 717081103 112 3115 SH SOLE 0 0 3115 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 344 4273 SH SOLE 0 0 4273 BROADCOM INC COM 11135F101 595 2155 SH SOLE 0 0 2155 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1366 8167 SH SOLE 0 0 8167 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 5102 76528 SH SOLE 0 0 76528 IQVIA HLDGS INC COM 46266C105 1153 7720 SH SOLE 0 0 7720 PALO ALTO NETWORKS INC COM 697435105 993 4874 SH SOLE 0 0 4874 APPLE INC COM 037833100 17447 77901 SH SOLE 0 0 77901 COSTCO WHSL CORP NEW COM 22160K105 1107 3844 SH SOLE 0 0 3844 ISHARES TR MSCI EAFE ETF 464287465 4 60 SH SOLE 0 0 60 ISHARES SILVER TRUST ISHARES 46428Q109 8 493 SH SOLE 0 0 493 HABIT RESTAURANTS INC COM CL A 40449J103 4793 548431 SH SOLE 0 0 548431 RAYTHEON CO COM NEW 755111507 640 3263 SH SOLE 0 0 3263 AKAMAI TECHNOLOGIES INC COM 00971T101 1345 14716 SH SOLE 0 0 14716 QUALCOMM INC COM 747525103 239 3137 SH SOLE 0 0 3137 HOME DEPOT INC COM 437076102 1865 8036 SH SOLE 0 0 8036 GOLDMAN SACHS BDC INC SHS 38147U107 40 2000 SH SOLE 0 0 2000 ARCHER DANIELS MIDLAND CO COM 039483102 494 12030 SH SOLE 0 0 12030 PAYPAL HLDGS INC COM 70450Y103 277 2673 SH SOLE 0 0 2673 GLOBAL X FDS GLBL X MLP ETF 37950E473 2432 290191 SH SOLE 0 0 290191 BOEING CO COM 097023105 1981 5207 SH SOLE 0 0 5207 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 104 860 SH SOLE 0 0 860 VANGUARD INDEX FDS GROWTH ETF 922908736 83 500 SH SOLE 0 0 500 SPDR SERIES TRUST PORTFOLIO SH TSR 78468R101 4609 153529 SH SOLE 0 0 153529 WALMART INC COM 931142103 71 596 SH SOLE 0 0 596 INTERCONTINENTAL EXCHANGE IN COM 45866F104 722 7829 SH SOLE 0 0 7829 REALITY SHS ETF TR DIVCON DIV ETF 75605A603 3234 131666 SH SOLE 0 0 131666