Chief Compliance Officer

0001580642-20-002085.txt : 20200508 0001580642-20-002085.hdr.sgml : 20200508 20200508094433 ACCESSION NUMBER: 0001580642-20-002085 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200508 DATE AS OF CHANGE: 20200508 EFFECTIVENESS DATE: 20200508 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: 20859039 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 03-31-2020 03-31-2020 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 05-07-2020 0 190 302309 INFORMATION TABLE 2 infotable.xml SPDR S&P 500 ETF TR TR UNIT 78462F103 1431 5550 SH SOLE 0 0 5550 GENERAL ELECTRIC CO COM 369604103 3 410 SH SOLE 0 0 410 INVESCO EXCHANGE-TRADED FD T PFD ETF 46138E511 46 3500 SH SOLE 0 0 3500 SPDR SER TR BLOMBERG BRC INV 78468R200 3502 119123 SH SOLE 0 0 119123 ISHARES TR SHRT NAT MUN ETF 464288158 800 7529 SH SOLE 0 0 7529 PFIZER INC COM 717081103 105 3221 SH SOLE 0 0 3221 DIGITAL RLTY TR INC COM 253868103 666 4792 SH SOLE 0 0 4792 DISNEY WALT CO COM DISNEY 254687106 495 5129 SH SOLE 0 0 5129 PEPSICO INC COM 713448108 43 358 SH SOLE 0 0 358 ISHARES TR SELECT DIVID ETF 464287168 752 10232 SH SOLE 0 0 10232 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 356 10670 SH SOLE 0 0 10670 KKR & CO INC CL A 48251W104 530 22596 SH SOLE 0 0 22596 ADOBE INC COM 00724F101 1179 3704 SH SOLE 0 0 3704 ABBOTT LABS COM 002824100 675 8553 SH SOLE 0 0 8553 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 672 12880 SH SOLE 0 0 12880 COSTCO WHSL CORP NEW COM 22160K105 50 174 SH SOLE 0 0 174 PREFERRED APT CMNTYS INC COM 74039L103 58 8090 SH SOLE 0 0 8090 NEXTERA ENERGY INC COM 65339F101 572 2378 SH SOLE 0 0 2378 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 163 3000 SH SOLE 0 0 3000 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1039 10967 SH SOLE 0 0 10967 LOWES COS INC COM 548661107 774 8994 SH SOLE 0 0 8994 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 867 5310 SH SOLE 0 0 5310 QUALCOMM INC COM 747525103 336 4966 SH SOLE 0 0 4966 TARGET CORP COM 87612E106 487 5238 SH SOLE 0 0 5238 UNION PAC CORP COM 907818108 347 2458 SH SOLE 0 0 2458 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 7829 596714 SH SOLE 0 0 596714 AT&T INC COM 00206R102 97 3316 SH SOLE 0 0 3316 AMAZON COM INC COM 023135106 521 267 SH SOLE 0 0 267 APPLE INC COM 037833100 12255 48195 SH SOLE 0 0 48195 VEREIT INC COM 92339V100 2 415 SH SOLE 0 0 415 MERCK & CO. INC COM 58933Y105 14258 185319 SH SOLE 0 0 185319 INTERCONTINENTAL EXCHANGE IN COM 45866F104 657 8133 SH SOLE 0 0 8133 VANGUARD INDEX FDS GROWTH ETF 922908736 531 3391 SH SOLE 0 0 3391 NUVEEN PFD & INCM SECURTIES COM 67072C105 51 7000 SH SOLE 0 0 7000 GLOBAL NET LEASE INC COM NEW 379378201 26 1959 SH SOLE 0 0 1959 TEXAS INSTRS INC COM 882508104 732 7327 SH SOLE 0 0 7327 SCIPLAY CORP CL A 809087109 107 11252 SH SOLE 0 0 11252 FIRST TR EXCH TRADED FD III HORIZON DMST ETF 33739P889 10937 504466 SH SOLE 0 0 504466 BOEING CO COM 097023105 57 381 SH SOLE 0 0 381 REALTY INCOME CORP COM 756109104 53 1070 SH SOLE 0 0 1070 SPDR SER TR PORTFOLIO SH TSR 78468R101 2100 68362 SH SOLE 0 0 68362 UNITED TECHNOLOGIES CORP COM 913017109 280 2968 SH SOLE 0 0 2968 WALMART INC COM 931142103 74 650 SH SOLE 0 0 650 REALITY SHS ETF TR DIVCN DIVD ETF 75605A504 1669 53553 SH SOLE 0 0 53553 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 1751 36503 SH SOLE 0 0 36503 FLEXSHARES TR QUALT DIVD IDX 33939L860 83 2300 SH SOLE 0 0 2300 INTEL CORP COM 458140100 637 11779 SH SOLE 0 0 11779 ISHARES TR MULTIFACTOR USA 46434V282 2435 92075 SH SOLE 0 0 92075 SPDR SER TR PORTFLI INTRMDIT 78464A672 4803 144961 SH SOLE 0 0 144961 GLOBAL X FDS GLBL X MLP ETF 37950E473 348 110629 SH SOLE 0 0 110629 FIRST TR EXCHANGE TRADED ALP INDIA NFTY50 EQW 33737J802 417 18372 SH SOLE 0 0 18372 IQVIA HLDGS INC COM 46266C105 853 7905 SH SOLE 0 0 7905 JPMORGAN CHASE & CO COM 46625H100 181 2006 SH SOLE 0 0 2006 HUYA INC ADS REP SHS A 44852D108 881 51955 SH SOLE 0 0 51955 COMCAST CORP NEW CL A 20030N101 720 20937 SH SOLE 0 0 20937 CISCO SYS INC COM 17275R102 146 3707 SH SOLE 0 0 3707 EXXON MOBIL CORP COM 30231G102 244 6434 SH SOLE 0 0 6434 ROCKWELL AUTOMATION INC COM 773903109 5 36 SH SOLE 0 0 36 BRISTOL-MYERS SQUIBB CO COM 110122108 1739 31193 SH SOLE 0 0 31193 ISHARES SILVER TRUST ISHARES 46428Q109 12 953 SH SOLE 0 0 953 ISHARES TR RUS 2000 GRW ETF 464287648 39 245 SH SOLE 0 0 245 SPDR SER TR S&P 600 SMCP VAL 78464A300 594 14536 SH SOLE 0 0 14536 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1394 11755 SH SOLE 0 0 11755 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 707 31041 SH SOLE 0 0 31041 SPDR SER TR PORTFOLIO LN TSR 78464A664 3431 72637 SH SOLE 0 0 72637 ISHARES TR PFD AND INCM SEC 464288687 32 1000 SH SOLE 0 0 1000 CHEVRON CORP NEW COM 166764100 91 1252 SH SOLE 0 0 1252 SPDR SER TR RUSSELL MOMENTUM 78468R762 456 8266 SH SOLE 0 0 8266 INCYTE CORP COM 45337C102 957 13068 SH SOLE 0 0 13068 ALPS ETF TR ALERIAN MLP 00162Q866 6 1663 SH SOLE 0 0 1663 KRANESHARES TR CSI CHI INTERNET 500767306 9678 213782 SH SOLE 0 0 213782 HERSHEY CO COM 427866108 10572 79791 SH SOLE 0 0 79791 BROADCOM INC COM 11135F101 634 2674 SH SOLE 0 0 2674 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1332 7283 SH SOLE 0 0 7283 PROCTER & GAMBLE CO COM 742718109 26 236 SH SOLE 0 0 236 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1387 7130 SH SOLE 0 0 7130 COLONY CR REAL ESTATE INC COM CL A 19625T101 3 852 SH SOLE 0 0 852 ABBVIE INC COM 00287Y109 776 10183 SH SOLE 0 0 10183 PRINCIPAL FINL GROUP INC COM 74251V102 584 18621 SH SOLE 0 0 18621 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 12836 135355 SH SOLE 0 0 135355 VISA INC COM CL A 92826C839 470 2916 SH SOLE 0 0 2916 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 502 15390 SH SOLE 0 0 15390 SPDR SER TR NUVEEN BRC MUNIC 78468R721 426 8527 SH SOLE 0 0 8527 SPDR SER TR PORTFOLIO LN COR 78464A367 635 22295 SH SOLE 0 0 22295 ZYNGA INC CL A 98986T108 757 110546 SH SOLE 0 0 110546 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1947 18836 SH SOLE 0 0 18836 AON PLC SHS CL A G0408V102 574 3475 SH SOLE 0 0 3475 FIRST TR EXCHANGE TRADED ALP EUROPE ALPHADEX 33737J117 744 28733 SH SOLE 0 0 28733 KIMBERLY CLARK CORP COM 494368103 12079 94464 SH SOLE 0 0 94464 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 2622 48113 SH SOLE 0 0 48113 LILLY ELI & CO COM 532457108 259 1869 SH SOLE 0 0 1869 GOLDMAN SACHS BDC INC SHS 38147U107 74 6000 SH SOLE 0 0 6000 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 3 205 SH SOLE 0 0 205 FACEBOOK INC CL A 30303M102 1322 7928 SH SOLE 0 0 7928 FIRST TR EXCHANGE-TRADED FD BUYWRIT INCM ETF 33738R308 655 37982 SH SOLE 0 0 37982 CYBERARK SOFTWARE LTD SHS M2682V108 1437 16801 SH SOLE 0 0 16801 SPDR SER TR S&P BIOTECH 78464A870 97 1250 SH SOLE 0 0 1250 FS KKR CAPITAL CORP COM 302635107 135 45037 SH SOLE 0 0 45037 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1977 71437 SH SOLE 0 0 71437 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 162 7800 SH SOLE 0 0 7800 TJX COS INC NEW COM 872540109 599 12521 SH SOLE 0 0 12521 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 474 5903 SH SOLE 0 0 5903 VIACOMCBS INC CL B 92556H206 9726 694203 SH SOLE 0 0 694203 AUTOMATIC DATA PROCESSING IN COM 053015103 11061 80923 SH SOLE 0 0 80923 ALTRIA GROUP INC COM 02209S103 65 1675 SH SOLE 0 0 1675 SKYWORKS SOLUTIONS INC COM 83088M102 547 6116 SH SOLE 0 0 6116 AMERICAN FIN TR INC COM CLASS A 02607T109 76 12130 SH SOLE 0 0 12130 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1360 5 SH SOLE 0 0 5 SSGA ACTIVE ETF TR MFS SYS GWT EQ 78467V889 1492 19288 SH SOLE 0 0 19288 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 15 386 SH SOLE 0 0 386 ISHARES TR CORE US AGGBD ET 464287226 43 372 SH SOLE 0 0 372 SALESFORCE COM INC COM 79466L302 933 6482 SH SOLE 0 0 6482 VANGUARD SCOTTSDALE FDS TOTAL CORP BND 92206C573 229 2683 SH SOLE 0 0 2683 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2890 22421 SH SOLE 0 0 22421 ISHARES GOLD TRUST ISHARES 464285105 1794 119061 SH SOLE 0 0 119061 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 916 27652 SH SOLE 0 0 27652 HEALTHCARE TR AMER INC CL A NEW 42225P501 12 500 SH SOLE 0 0 500 HOME DEPOT INC COM 437076102 748 4004 SH SOLE 0 0 4004 LOCKHEED MARTIN CORP COM 539830109 931 2748 SH SOLE 0 0 2748 SPDR SER TR SPDR BLOOMBERG 78468R663 674 7357 SH SOLE 0 0 7357 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 12 170 SH SOLE 0 0 170 COCA COLA CO COM 191216100 390 8812 SH SOLE 0 0 8812 WELLS FARGO CO NEW COM 949746101 137 4784 SH SOLE 0 0 4784 UNITEDHEALTH GROUP INC COM 91324P102 171 687 SH SOLE 0 0 687 SCHWAB STRATEGIC TR US TIPS ETF 808524870 825 14344 SH SOLE 0 0 14344 SPDR SER TR PORTFLI MORTGAGE 78464A383 3939 147569 SH SOLE 0 0 147569 NETFLIX INC COM 64110L106 32 85 SH SOLE 0 0 85 INTERNATIONAL BUSINESS MACHS COM 459200101 6824 61515 SH SOLE 0 0 61515 INVESCO QQQ TR UNIT SER 1 46090E103 80 422 SH SOLE 0 0 422 SOUTHERN CO COM 842587107 49 910 SH SOLE 0 0 910 3M CO COM 88579Y101 57 417 SH SOLE 0 0 417 ISHARES TR S&P 500 GRWT ETF 464287309 13 80 SH SOLE 0 0 80 VERIZON COMMUNICATIONS INC COM 92343V104 83 1552 SH SOLE 0 0 1552 FIRST TR LARGE CAP GROWTH A COM SHS 33735K108 1011 16872 SH SOLE 0 0 16872 AMERICAN ELEC PWR CO INC COM 025537101 41 509 SH SOLE 0 0 509 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 328 1387 SH SOLE 0 0 1387 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 44 800 SH SOLE 0 0 800 NORTHROP GRUMMAN CORP COM 666807102 636 2102 SH SOLE 0 0 2102 NETEASE INC SPONSORED ADS 64110W102 592 1845 SH SOLE 0 0 1845 MICROSOFT CORP COM 594918104 15164 96153 SH SOLE 0 0 96153 WP CAREY INC COM 92936U109 91 1562 SH SOLE 0 0 1562 YANDEX N V SHS CLASS A N97284108 665 19531 SH SOLE 0 0 19531 STARBUCKS CORP COM 855244109 106 1610 SH SOLE 0 0 1610 REALITY SHS ETF TR DIVS ETF 75605A108 779 51847 SH SOLE 0 0 51847 ISHARES TR MULTIFACTOR INTL 46434V274 253 12467 SH SOLE 0 0 12467 MCCORMICK & CO INC COM NON VTG 579780206 5468 38719 SH SOLE 0 0 38719 ISHARES INC MLT FCTR EMG MKT 46434G889 1528 44483 SH SOLE 0 0 44483 MOLSON COORS BEVERAGE CO CL B 60871R209 20 513 SH SOLE 0 0 513 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1141 22368 SH SOLE 0 0 22368 APPLIED MATLS INC COM 038222105 1157 25245 SH SOLE 0 0 25245 MCDONALDS CORP COM 580135101 102 618 SH SOLE 0 0 618 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 303 3418 SH SOLE 0 0 3418 SPDR SER TR PRTFLO S&P500 GW 78464A409 165 4613 SH SOLE 0 0 4613 ALPHABET INC CAP STK CL A 02079K305 101 87 SH SOLE 0 0 87 CERNER CORP COM 156782104 950 15089 SH SOLE 0 0 15089 VERTEX PHARMACEUTICALS INC COM 92532F100 890 3739 SH SOLE 0 0 3739 ICON PLC SHS G4705A100 1123 8256 SH SOLE 0 0 8256 CLOROX CO DEL COM 189054109 9227 53260 SH SOLE 0 0 53260 HONEYWELL INTL INC COM 438516106 347 2596 SH SOLE 0 0 2596 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 445 26972 SH SOLE 0 0 26972 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 1213 50687 SH SOLE 0 0 50687 INVESCO ACTIVELY MANAGED ETF VAR RATE INVT 46090A879 7282 320239 SH SOLE 0 0 320239 FISERV INC COM 337738108 729 7676 SH SOLE 0 0 7676 SPDR SER TR PORTFOLIO SHORT 78464A474 331 10956 SH SOLE 0 0 10956 WISDOMTREE TR US MIDCAP DIVID 97717W505 275 11400 SH SOLE 0 0 11400 ALPHABET INC CAP STK CL C 02079K107 9977 8580 SH SOLE 0 0 8580 CHIPOTLE MEXICAN GRILL INC COM 169656105 461 705 SH SOLE 0 0 705 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 226 6733 SH SOLE 0 0 6733 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 2565 36364 SH SOLE 0 0 36364 ISHARES TR USA QUALITY FCTR 46432F339 199 2456 SH SOLE 0 0 2456 UNITED PARCEL SERVICE INC CL B 911312106 891 9535 SH SOLE 0 0 9535 ISHARES TR CORE S&P500 ETF 464287200 283 1095 SH SOLE 0 0 1095 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 87 1550 SH SOLE 0 0 1550 AFLAC INC COM 001055102 701 20478 SH SOLE 0 0 20478 INTUIT COM 461202103 554 2409 SH SOLE 0 0 2409 SEMPRA ENERGY COM 816851109 69 613 SH SOLE 0 0 613 ISHARES TR MULTIFACTOR USA 46434V290 2434 81717 SH SOLE 0 0 81717 SPDR SER TR S&P DIVID ETF 78464A763 972 12167 SH SOLE 0 0 12167 XILINX INC COM 983919101 31 400 SH SOLE 0 0 400 SPDR SER TR S&P 400 MDCP GRW 78464A821 497 11603 SH SOLE 0 0 11603 MEDTRONIC PLC SHS G5960L103 590 6547 SH SOLE 0 0 6547 AKAMAI TECHNOLOGIES INC COM 00971T101 947 10350 SH SOLE 0 0 10350 JOHNSON & JOHNSON COM 478160104 21051 160534 SH SOLE 0 0 160534 LULULEMON ATHLETICA INC COM 550021109 519 2739 SH SOLE 0 0 2739 PAYPAL HLDGS INC COM 70450Y103 753 7865 SH SOLE 0 0 7865 CROWN CASTLE INTL CORP NEW COM 22822V101 1894 13118 SH SOLE 0 0 13118 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 42 8635 SH SOLE 0 0 8635 S&P GLOBAL INC COM 78409V104 647 2641 SH SOLE 0 0 2641 SPDR GOLD TRUST GOLD SHS 78463V107 144 970 SH SOLE 0 0 970 ISHARES TR ULTR SH TRM BD 46434V878 220 4400 SH SOLE 0 0 4400