Chief Compliance Officer

0001580642-20-000288.txt : 20200122 0001580642-20-000288.hdr.sgml : 20200122 20200122172140 ACCESSION NUMBER: 0001580642-20-000288 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200122 DATE AS OF CHANGE: 20200122 EFFECTIVENESS DATE: 20200122 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: 20539647 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 12-31-2019 12-31-2019 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 01-22-2020 0 185 325752 INFORMATION TABLE 2 infotable.xml SPDR SERIES TRUST NUVEEN BRC MUNIC 78468R721 688 13604 SH SOLE 0 0 13604 WISDOMTREE TR US MIDCAP DIVID 97717W505 479 12600 SH SOLE 0 0 12600 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 4333 140080 SH SOLE 0 0 140080 ISHARES TR SELECT DIVID ETF 464287168 1205 11402 SH SOLE 0 0 11402 PEPSICO INC COM 713448108 48 350 SH SOLE 0 0 350 MCCORMICK & CO INC COM NON VTG 579780206 6431 37890 SH SOLE 0 0 37890 SPDR SERIES TRUST PORTFLI MORTGAGE 78464A383 736 28187 SH SOLE 0 0 28187 XILINX INC COM 983919101 1604 16408 SH SOLE 0 0 16408 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 466 9513 SH SOLE 0 0 9513 VANECK VECTORS ETF TRUST PFD SECS EX FINL 92189F429 1434 70896 SH SOLE 0 0 70896 KIMBERLY CLARK CORP COM 494368103 13029 94723 SH SOLE 0 0 94723 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 274 5957 SH SOLE 0 0 5957 SOUTHERN CO COM 842587107 58 910 SH SOLE 0 0 910 ISHARES INC MLT FCTR EMG MKT 46434G889 4612 101250 SH SOLE 0 0 101250 ISHARES TR S&P 500 GRWT ETF 464287309 19 100 SH SOLE 0 0 100 DISNEY WALT CO COM DISNEY 254687106 1262 8728 SH SOLE 0 0 8728 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 5098 95872 SH SOLE 0 0 95872 ISHARES TR SHRT NAT MUN ETF 464288158 1684 15770 SH SOLE 0 0 15770 ISHARES GOLD TRUST ISHARES 464285105 4245 292754 SH SOLE 0 0 292754 ISHARES TR RUSSELL 2000 ETF 464287655 59 355 SH SOLE 0 0 355 JOHNSON & JOHNSON COM 478160104 23911 163921 SH SOLE 0 0 163921 AMERICAN FIN TR INC COM CLASS A 02607T109 125 9452 SH SOLE 0 0 9452 CISCO SYS INC COM 17275R102 63 1319 SH SOLE 0 0 1319 VANGUARD GROUP DIV APP ETF 921908844 2076 16654 SH SOLE 0 0 16654 FIRST TR VALUE LINE DIVID IN SHS 33734H106 405 11228 SH SOLE 0 0 11228 AMERICAN ELEC PWR CO INC COM 025537101 48 509 SH SOLE 0 0 509 MERCK & CO INC COM 58933Y105 2517 27675 SH SOLE 0 0 27675 ALTRIA GROUP INC COM 02209S103 64 1275 SH SOLE 0 0 1275 TARGET CORP COM 87612E106 784 6116 SH SOLE 0 0 6116 ALPHABET INC CAP STK CL A 02079K305 135 101 SH SOLE 0 0 101 DELTA AIR LINES INC DEL COM NEW 247361702 1925 32921 SH SOLE 0 0 32921 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 3 205 SH SOLE 0 0 205 ROCKWELL AUTOMATION INC COM 773903109 7 36 SH SOLE 0 0 36 AMAZON COM INC COM 023135106 392 212 SH SOLE 0 0 212 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 543 17596 SH SOLE 0 0 17596 VERIZON COMMUNICATIONS INC COM 92343V104 60 972 SH SOLE 0 0 972 FS KKR CAPITAL CORP COM 302635107 157 25622 SH SOLE 0 0 25622 ALPS ETF TR ALERIAN MLP 00162Q866 17 1943 SH SOLE 0 0 1943 COLONY CR REAL ESTATE INC COM CL A 19625T101 25 1905 SH SOLE 0 0 1905 ISHARES TR PFD AND INCM SEC 464288687 38 1000 SH SOLE 0 0 1000 MICROSOFT CORP COM 594918104 17178 108926 SH SOLE 0 0 108926 GLOBAL NET LEASE INC COM NEW 379378201 40 1959 SH SOLE 0 0 1959 SEMPRA ENERGY COM 816851109 24 156 SH SOLE 0 0 156 CLOROX CO DEL COM 189054109 8283 53946 SH SOLE 0 0 53946 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 658 21427 SH SOLE 0 0 21427 COMCAST CORP NEW CL A 20030N101 2050 45597 SH SOLE 0 0 45597 FLEXSHARES TR QUALT DIVD IDX 33939L860 165 3400 SH SOLE 0 0 3400 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 346 11027 SH SOLE 0 0 11027 ISHARES TR MULTIFACTOR USA 46434V282 6937 201176 SH SOLE 0 0 201176 AMERICAN EXPRESS CO COM 025816109 2205 17715 SH SOLE 0 0 17715 AFLAC INC COM 001055102 732 13841 SH SOLE 0 0 13841 INTERNATIONAL BUSINESS MACHS COM 459200101 46 345 SH SOLE 0 0 345 WELLS FARGO CO NEW COM 949746101 6 104 SH SOLE 0 0 104 AUTOMATIC DATA PROCESSING IN COM 053015103 13590 79709 SH SOLE 0 0 79709 STARBUCKS CORP COM 855244109 142 1610 SH SOLE 0 0 1610 SELECT SECTOR SPDR TR ENERGY 81369Y506 65 1080 SH SOLE 0 0 1080 PREFERRED APT CMNTYS INC COM 74039L103 108 8090 SH SOLE 0 0 8090 ZYNGA INC CL A 98986T108 121 19779 SH SOLE 0 0 19779 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 410 1387 SH SOLE 0 0 1387 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 325 2967 SH SOLE 0 0 2967 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 18 386 SH SOLE 0 0 386 NETFLIX INC COM 64110L106 6 20 SH SOLE 0 0 20 LILLY ELI & CO COM 532457108 157 1196 SH SOLE 0 0 1196 VISA INC COM CL A 92826C839 584 3109 SH SOLE 0 0 3109 CROWN CASTLE INTL CORP NEW COM 22822V101 2124 14944 SH SOLE 0 0 14944 UNITED TECHNOLOGIES CORP COM 913017109 628 4191 SH SOLE 0 0 4191 EXXON MOBIL CORP COM 30231G102 90 1291 SH SOLE 0 0 1291 UNITED PARCEL SERVICE INC CL B 911312106 973 8312 SH SOLE 0 0 8312 UNITEDHEALTH GROUP INC COM 91324P102 91 311 SH SOLE 0 0 311 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1698 5 SH SOLE 0 0 5 SSGA ACTIVE ETF TR MFS SYS GWT EQ 78467V889 418 4668 SH SOLE 0 0 4668 FIRST TR EXCH TRADED FD III HORIZON DMST ETF 33739P889 11052 397279 SH SOLE 0 0 397279 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 953 14730 SH SOLE 0 0 14730 WASTE MGMT INC DEL COM 94106L109 23 200 SH SOLE 0 0 200 ABBOTT LABS COM 002824100 14 161 SH SOLE 0 0 161 APTIV PLC SHS G6095L109 938 9882 SH SOLE 0 0 9882 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1380 12825 SH SOLE 0 0 12825 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 283 7525 SH SOLE 0 0 7525 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 19 300 SH SOLE 0 0 300 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1186 5632 SH SOLE 0 0 5632 AT&T INC COM 00206R102 32 827 SH SOLE 0 0 827 ISHARES TR MSCI EMG MKT ETF 464287234 54 1200 SH SOLE 0 0 1200 SPDR SERIES TRUST S&P BIOTECH 78464A870 95 1000 SH SOLE 0 0 1000 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 73 1737 SH SOLE 0 0 1737 HERSHEY CO COM 427866108 15936 108425 SH SOLE 0 0 108425 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1815 8015 SH SOLE 0 0 8015 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1711 30222 SH SOLE 0 0 30222 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 80 1420 SH SOLE 0 0 1420 YANDEX N V SHS CLASS A N97284108 1414 32524 SH SOLE 0 0 32524 S&P GLOBAL INC COM 78409V104 731 2677 SH SOLE 0 0 2677 UNION PACIFIC CORP COM 907818108 763 4221 SH SOLE 0 0 4221 INVESCO ACTIVELY MANAGD ETF VAR RATE INVT 46090A879 8039 322065 SH SOLE 0 0 322065 KINDER MORGAN INC DEL COM 49456B101 828 39126 SH SOLE 0 0 39126 LOCKHEED MARTIN CORP COM 539830109 910 2338 SH SOLE 0 0 2338 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 174 3048 SH SOLE 0 0 3048 MOLSON COORS BREWING CO CL B 60871R209 1438 26676 SH SOLE 0 0 26676 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 4839 397257 SH SOLE 0 0 397257 REALITY SHS ETF TR DIVS ETF 75605A108 3364 126043 SH SOLE 0 0 126043 QUANTA SVCS INC COM 74762E102 1283 31509 SH SOLE 0 0 31509 INTEL CORP COM 458140100 27 458 SH SOLE 0 0 458 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 0 50 SH SOLE 0 0 50 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 176 2800 SH SOLE 0 0 2800 TEXAS INSTRS INC COM 882508104 875 6817 SH SOLE 0 0 6817 COCA COLA CO COM 191216100 452 8170 SH SOLE 0 0 8170 CERNER CORP COM 156782104 1332 18151 SH SOLE 0 0 18151 CONOCOPHILLIPS COM 20825C104 144 2219 SH SOLE 0 0 2219 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1350 11025 SH SOLE 0 0 11025 SALESFORCE COM INC COM 79466L302 1644 10111 SH SOLE 0 0 10111 ISHARES TR RUS 2000 GRW ETF 464287648 52 245 SH SOLE 0 0 245 ISHARES TR MULTIFACTOR INTL 46434V274 579 21406 SH SOLE 0 0 21406 SPDR GOLD TRUST GOLD SHS 78463V107 18 127 SH SOLE 0 0 127 TRAVELERS COMPANIES INC COM 89417E109 614 4487 SH SOLE 0 0 4487 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 25 270 SH SOLE 0 0 270 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 53 3500 SH SOLE 0 0 3500 ANNALY CAP MGMT INC COM 035710409 2 200 SH SOLE 0 0 200 SPDR S&P 500 ETF TR TR UNIT 78462F103 1563 4856 SH SOLE 0 0 4856 MASTERCARD INC CL A 57636Q104 1423 4767 SH SOLE 0 0 4767 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 988 7403 SH SOLE 0 0 7403 W P CAREY INC COM 92936U109 119 1489 SH SOLE 0 0 1489 REALTY INCOME CORP COM 756109104 79 1070 SH SOLE 0 0 1070 3M CO COM 88579Y101 74 417 SH SOLE 0 0 417 ISHARES TR MULTIFACTOR USA 46434V290 7963 185567 SH SOLE 0 0 185567 MCDONALDS CORP COM 580135101 122 618 SH SOLE 0 0 618 NEXTERA ENERGY INC COM 65339F101 14 59 SH SOLE 0 0 59 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 343 3368 SH SOLE 0 0 3368 HONEYWELL INTL INC COM 438516106 631 3566 SH SOLE 0 0 3566 CHEVRON CORP NEW COM 166764100 150 1247 SH SOLE 0 0 1247 ALPHABET INC CAP STK CL C 02079K107 11343 8484 SH SOLE 0 0 8484 ICON PLC SHS G4705A100 1346 7814 SH SOLE 0 0 7814 ECOLAB INC COM 278865100 13 65 SH SOLE 0 0 65 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 200 6500 SH SOLE 0 0 6500 MONDELEZ INTL INC CL A 609207105 7593 137861 SH SOLE 0 0 137861 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 333 7557 SH SOLE 0 0 7557 INVESCO QQQ TR UNIT SER 1 46090E103 80 375 SH SOLE 0 0 375 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 13849 112100 SH SOLE 0 0 112100 GENERAL ELECTRIC CO COM 369604103 2 200 SH SOLE 0 0 200 NORTHROP GRUMMAN CORP COM 666807102 81 236 SH SOLE 0 0 236 ULTA BEAUTY INC COM 90384S303 1423 5623 SH SOLE 0 0 5623 CYBERARK SOFTWARE LTD SHS M2682V108 1590 13642 SH SOLE 0 0 13642 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 212 4776 SH SOLE 0 0 4776 EDWARDS LIFESCIENCES CORP COM 28176E108 177 757 SH SOLE 0 0 757 ISHARES TR CORE S&P500 ETF 464287200 265 820 SH SOLE 0 0 820 JPMORGAN CHASE & CO COM 46625H100 140 1007 SH SOLE 0 0 1007 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 214 6712 SH SOLE 0 0 6712 ADOBE INC COM 00724F101 1796 5447 SH SOLE 0 0 5447 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 648 16659 SH SOLE 0 0 16659 ABBVIE INC COM 00287Y109 991 11189 SH SOLE 0 0 11189 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 294 5669 SH SOLE 0 0 5669 FACEBOOK INC CL A 30303M102 229 1114 SH SOLE 0 0 1114 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 304 4174 SH SOLE 0 0 4174 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3635 22216 SH SOLE 0 0 22216 KKR & CO INC CL A 48251W104 686 23515 SH SOLE 0 0 23515 PFIZER INC COM 717081103 112 2869 SH SOLE 0 0 2869 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 206 2682 SH SOLE 0 0 2682 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 537 5853 SH SOLE 0 0 5853 BROADCOM INC COM 11135F101 811 2567 SH SOLE 0 0 2567 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1765 8321 SH SOLE 0 0 8321 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 4899 74343 SH SOLE 0 0 74343 IQVIA HLDGS INC COM 46266C105 1244 8049 SH SOLE 0 0 8049 PALO ALTO NETWORKS INC COM 697435105 1245 5382 SH SOLE 0 0 5382 APPLE INC COM 037833100 21103 71866 SH SOLE 0 0 71866 COSTCO WHSL CORP NEW COM 22160K105 82 278 SH SOLE 0 0 278 ISHARES SILVER TRUST ISHARES 46428Q109 9 553 SH SOLE 0 0 553 HABIT RESTAURANTS INC COM CL A 40449J103 6692 641618 SH SOLE 0 0 641618 BRISTOL MYERS SQUIBB CO COM 110122108 24 369 SH SOLE 0 0 369 RAYTHEON CO COM NEW 755111507 767 3490 SH SOLE 0 0 3490 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 290 6218 SH SOLE 0 0 6218 AKAMAI TECHNOLOGIES INC COM 00971T101 1174 13595 SH SOLE 0 0 13595 INCYTE CORP COM 45337C102 1075 12307 SH SOLE 0 0 12307 QUALCOMM INC COM 747525103 438 4966 SH SOLE 0 0 4966 HOME DEPOT INC COM 437076102 1650 7554 SH SOLE 0 0 7554 GOLDMAN SACHS BDC INC SHS 38147U107 43 2000 SH SOLE 0 0 2000 ARCHER DANIELS MIDLAND CO COM 039483102 619 13350 SH SOLE 0 0 13350 PAYPAL HLDGS INC COM 70450Y103 296 2733 SH SOLE 0 0 2733 GLOBAL X FDS GLBL X MLP ETF 37950E473 2074 263142 SH SOLE 0 0 263142 BOEING CO COM 097023105 609 1869 SH SOLE 0 0 1869 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 108 860 SH SOLE 0 0 860 VANGUARD INDEX FDS GROWTH ETF 922908736 456 2502 SH SOLE 0 0 2502 SPDR SERIES TRUST PORTFOLIO SH TSR 78468R101 4290 143186 SH SOLE 0 0 143186 ISHARES TR ULTR SH TRM BD 46434V878 221 4400 SH SOLE 0 0 4400 WALMART INC COM 931142103 71 596 SH SOLE 0 0 596 INTERCONTINENTAL EXCHANGE IN COM 45866F104 711 7678 SH SOLE 0 0 7678 REALITY SHS ETF TR DIVCON DIV ETF 75605A603 3127 116572 SH SOLE 0 0 116572