Chief Compliance Officer

0001580642-18-005469.txt : 20181114 0001580642-18-005469.hdr.sgml : 20181114 20181114172734 ACCESSION NUMBER: 0001580642-18-005469 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 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: 181185248 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 09-30-2018 09-30-2018 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 /s/ Viktoria Palermo San Diego CA 11-13-2018 0 216 321047 INFORMATION TABLE 2 infotable.xml SPDR S&P 500 ETF TR TR UNIT 78462F103 1150 3955 SH SOLE 0 0 3955 GENERAL ELECTRIC CO COM 369604103 6 500 SH SOLE 0 0 500 MASTERCARD INCORPORATED CL A 57636Q104 2176 9775 SH SOLE 0 0 9775 PFIZER INC COM 717081103 733 16638 SH SOLE 0 0 16638 MARATHON PETE CORP COM 56585A102 2741 34277 SH SOLE 0 0 34277 ISHARES TR SHRT NAT MUN ETF 464288158 3267 31194 SH SOLE 0 0 31194 RAYTHEON CO COM NEW 755111507 912 4412 SH SOLE 0 0 4412 DIGITAL RLTY TR INC COM 253868103 61 544 SH SOLE 0 0 544 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1162 20772 SH SOLE 0 0 20772 DISNEY WALT CO COM DISNEY 254687106 1010 8637 SH SOLE 0 0 8637 PEPSICO INC COM 713448108 17 149 SH SOLE 0 0 149 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 5547 239108 SH SOLE 0 0 239108 AMERICAN EXPRESS CO COM 025816109 2022 18986 SH SOLE 0 0 18986 ISHARES TR SELECT DIVID ETF 464287168 993 9955 SH SOLE 0 0 9955 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 1936 38337 SH SOLE 0 0 38337 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 222 15468 SH SOLE 0 0 15468 ABBOTT LABS COM 002824100 15 202 SH SOLE 0 0 202 COSTCO WHSL CORP NEW COM 22160K105 1375 5852 SH SOLE 0 0 5852 PREFERRED APT CMNTYS INC COM 74039L103 32 1800 SH SOLE 0 0 1800 SELECT SECTOR SPDR TR ENERGY 81369Y506 82 1080 SH SOLE 0 0 1080 TARGET CORP COM 87612E106 765 8676 SH SOLE 0 0 8676 QUALCOMM INC COM 747525103 1157 16061 SH SOLE 0 0 16061 VALERO ENERGY CORP NEW COM 91913Y100 826 7258 SH SOLE 0 0 7258 VEREIT INC COM 92339V100 8 1075 SH SOLE 0 0 1075 APPLE INC COM 037833100 15591 69066 SH SOLE 0 0 69066 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1577 9265 SH SOLE 0 0 9265 AT&T INC COM 00206R102 1116 33236 SH SOLE 0 0 33236 INVESCO EXCHNG TRADED FD TR FRONTIER MKTS 46138E776 251 18568 SH SOLE 0 0 18568 AGEAGLE AERIAL SYS INC NEW COM 00848K101 7 4189 SH SOLE 0 0 4189 SOUTHWEST AIRLS CO COM 844741108 287 4595 SH SOLE 0 0 4595 GRAINGER W W INC COM 384802104 908 2540 SH SOLE 0 0 2540 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 578 13563 SH SOLE 0 0 13563 NOVO-NORDISK A S ADR 670100205 283 6007 SH SOLE 0 0 6007 TRAVELERS COMPANIES INC COM 89417E109 3198 24658 SH SOLE 0 0 24658 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 2 111 SH SOLE 0 0 111 PALO ALTO NETWORKS INC COM 697435105 205 912 SH SOLE 0 0 912 AMAZON COM INC COM 023135106 280 140 SH SOLE 0 0 140 SPDR SER TR PORTFOLIO SH TSR 78468R101 3311 112458 SH SOLE 0 0 112458 VANGUARD INDEX FDS GROWTH ETF 922908736 81 500 SH SOLE 0 0 500 EDWARDS LIFESCIENCES CORP COM 28176E108 143 821 SH SOLE 0 0 821 DELTA AIR LINES INC DEL COM NEW 247361702 194 3348 SH SOLE 0 0 3348 REALTY INCOME CORP COM 756109104 29 502 SH SOLE 0 0 502 INTERCONTINENTAL EXCHANGE IN COM 45866F104 742 9910 SH SOLE 0 0 9910 ARCHER DANIELS MIDLAND CO COM 039483102 634 12615 SH SOLE 0 0 12615 PRICE T ROWE GROUP INC COM 74144T108 236 2157 SH SOLE 0 0 2157 BOEING CO COM 097023105 1240 3333 SH SOLE 0 0 3333 PROCTER AND GAMBLE CO COM 742718109 1 16 SH SOLE 0 0 16 DUKE ENERGY CORP NEW COM NEW 26441C204 76 948 SH SOLE 0 0 948 UNITED TECHNOLOGIES CORP COM 913017109 763 5454 SH SOLE 0 0 5454 APTIV PLC SHS G6095L109 1613 19220 SH SOLE 0 0 19220 WALMART INC COM 931142103 4 46 SH SOLE 0 0 46 ULTA BEAUTY INC COM 90384S303 323 1144 SH SOLE 0 0 1144 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 474 10026 SH SOLE 0 0 10026 CONAGRA BRANDS INC COM 205887102 182 5354 SH SOLE 0 0 5354 INTEL CORP COM 458140100 21 451 SH SOLE 0 0 451 SCHLUMBERGER LTD COM 806857108 3103 50933 SH SOLE 0 0 50933 GLOBAL X FDS GLBL X MLP ETF 37950E473 3160 330886 SH SOLE 0 0 330886 ISHARES TR MULTIFACTOR USA 46434V282 13118 390194 SH SOLE 0 0 390194 FLEXSHARES TR QUALT DIVD IDX 33939L860 99 2100 SH SOLE 0 0 2100 IQVIA HLDGS INC COM 46266C105 232 1792 SH SOLE 0 0 1792 JPMORGAN CHASE & CO COM 46625H100 87 767 SH SOLE 0 0 767 SPDR SERIES TRUST BLOMBRG BRC MRTG 78464A383 171 6779 SH SOLE 0 0 6779 ROCKWELL COLLINS INC COM 774341101 9 67 SH SOLE 0 0 67 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 1498 39162 SH SOLE 0 0 39162 CISCO SYS INC COM 17275R102 66 1349 SH SOLE 0 0 1349 EXXON MOBIL CORP COM 30231G102 101 1193 SH SOLE 0 0 1193 ROCKWELL AUTOMATION INC COM 773903109 7 36 SH SOLE 0 0 36 ISHARES TR RUS 2000 GRW ETF 464287648 64 297 SH SOLE 0 0 297 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2017 14618 SH SOLE 0 0 14618 FEDEX CORP COM 31428X106 1401 5818 SH SOLE 0 0 5818 EATON CORP PLC SHS G29183103 61 708 SH SOLE 0 0 708 CHEVRON CORP NEW COM 166764100 237 1941 SH SOLE 0 0 1941 SYSCO CORP COM 871829107 1372 18727 SH SOLE 0 0 18727 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 5234 238123 SH SOLE 0 0 238123 HABIT RESTAURANTS INC COM CL A 40449J103 7856 492535 SH SOLE 0 0 492535 ALPS ETF TR ALERIAN MLP 00162Q866 253 23675 SH SOLE 0 0 23675 ISHARES TR AGENCY BOND ETF 464288166 345 3114 SH SOLE 0 0 3114 MELLANOX TECHNOLOGIES LTD SHS M51363113 1651 22477 SH SOLE 0 0 22477 HERSHEY CO COM 427866108 10974 107587 SH SOLE 0 0 107587 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 296 8207 SH SOLE 0 0 8207 BROADCOM INC COM 11135F101 808 3273 SH SOLE 0 0 3273 AERCAP HOLDINGS NV SHS N00985106 1942 33757 SH SOLE 0 0 33757 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 252 1177 SH SOLE 0 0 1177 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2667 16185 SH SOLE 0 0 16185 CHILDRENS PL INC COM 168905107 1928 15088 SH SOLE 0 0 15088 COLONY CR REAL ESTATE INC COM CL A 19625T101 274 12438 SH SOLE 0 0 12438 ABBVIE INC COM 00287Y109 999 10559 SH SOLE 0 0 10559 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 385 5424 SH SOLE 0 0 5424 DIAGEO P L C SPON ADR NEW 25243Q205 196 1384 SH SOLE 0 0 1384 CARNIVAL CORP UNIT 99/99/9999 143658300 829 13000 SH SOLE 0 0 13000 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 10211 77388 SH SOLE 0 0 77388 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 543 7961 SH SOLE 0 0 7961 SIMON PPTY GROUP INC NEW COM 828806109 54 303 SH SOLE 0 0 303 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 1275 18890 SH SOLE 0 0 18890 WISDOMTREE TR US DIVID EX FNCL 97717W406 999 11049 SH SOLE 0 0 11049 AON PLC SHS CL A G0408V102 360 2338 SH SOLE 0 0 2338 NXP SEMICONDUCTORS N V COM N6596X109 1578 18454 SH SOLE 0 0 18454 KIMBERLY CLARK CORP COM 494368103 9262 81502 SH SOLE 0 0 81502 MONDELEZ INTL INC CL A 609207105 5035 117209 SH SOLE 0 0 117209 CONSTELLATION BRANDS INC CL A 21036P108 204 946 SH SOLE 0 0 946 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189F361 3301 106043 SH SOLE 0 0 106043 VISA INC COM CL A 92826C839 488 3251 SH SOLE 0 0 3251 SPDR SER TR NUVEEN BRC MUNIC 78468R721 621 13082 SH SOLE 0 0 13082 WELLTOWER INC COM 95040Q104 53 822 SH SOLE 0 0 822 AMERICAN ELEC PWR INC COM 025537101 66 925 SH SOLE 0 0 925 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1942 38075 SH SOLE 0 0 38075 FACEBOOK INC CL A 30303M102 87 530 SH SOLE 0 0 530 CYBERARK SOFTWARE LTD SHS M2682V108 2267 28393 SH SOLE 0 0 28393 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 115 4168 SH SOLE 0 0 4168 GOLDMAN SACHS BDC INC SHS 38147U107 44 2000 SH SOLE 0 0 2000 WALGREENS BOOTS ALLIANCE INC COM 931427108 2 30 SH SOLE 0 0 30 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 247 3273 SH SOLE 0 0 3273 FIRST TR VALUE LINE DIVID IN SHS 33734H106 734 23184 SH SOLE 0 0 23184 AUTOMATIC DATA PROCESSING IN COM 053015103 9527 63237 SH SOLE 0 0 63237 SKYWORKS SOLUTIONS INC COM 83088M102 1656 18254 SH SOLE 0 0 18254 AMERICAN FIN TR INC COM CLASS A 02607T109 142 9278 SH SOLE 0 0 9278 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1600 5 SH SOLE 0 0 5 ISHARES GOLD TRUST ISHARES 464285105 5137 449392 SH SOLE 0 0 449392 CHUBB LIMITED COM H1467J104 439 3288 SH SOLE 0 0 3288 SALESFORCE COM INC COM 79466L302 2972 18689 SH SOLE 0 0 18689 ALTRIA GROUP INC COM 02209S103 97 1602 SH SOLE 0 0 1602 CITIGROUP INC COM NEW 172967424 274 3814 SH SOLE 0 0 3814 HUMANA INC COM 444859102 1356 4005 SH SOLE 0 0 4005 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 52 1287 SH SOLE 0 0 1287 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1689 11286 SH SOLE 0 0 11286 HEALTHCARE TR AMER INC CL A NEW 42225P501 13 500 SH SOLE 0 0 500 STANLEY BLACK & DECKER INC COM 854502101 1198 8179 SH SOLE 0 0 8179 PNC FINL SVCS GROUP INC COM 693475105 775 5688 SH SOLE 0 0 5688 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1021 10425 SH SOLE 0 0 10425 HOME DEPOT INC COM 437076102 2404 11607 SH SOLE 0 0 11607 ALIGN TECHNOLOGY INC COM 016255101 234 598 SH SOLE 0 0 598 FORD MTR CO DEL COM PAR $0.01 345370860 60 6500 SH SOLE 0 0 6500 LOCKHEED MARTIN CORP COM 539830109 69 200 SH SOLE 0 0 200 COCA COLA CO COM 191216100 344 7457 SH SOLE 0 0 7457 WELLS FARGO CO NEW COM 949746101 58 1104 SH SOLE 0 0 1104 UNITEDHEALTH GROUP INC COM 91324P102 88 329 SH SOLE 0 0 329 INTERNATIONAL BUSINESS MACHS COM 459200101 61 405 SH SOLE 0 0 405 WASTE MGMT INC DEL COM 94106L109 18 200 SH SOLE 0 0 200 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 16 300 SH SOLE 0 0 300 ASML HOLDING N V N Y REGISTRY SHS N07059210 244 1296 SH SOLE 0 0 1296 SPDR SER TR SPDR BLOOMBERG 78468R663 228 2491 SH SOLE 0 0 2491 INVESCO QQQ TR UNIT SER 1 46090E103 62 335 SH SOLE 0 0 335 ECOLAB INC COM 278865100 10 65 SH SOLE 0 0 65 CORPORATE CAP TR INC COM 219880101 356 23335 SH SOLE 0 0 23335 ISHARES TR S&P 500 GRWT ETF 464287309 18 100 SH SOLE 0 0 100 ISHARES INC MIN VOL EMRG MKT 464286533 1079 18195 SH SOLE 0 0 18195 VERIZON COMMUNICATIONS INC COM 92343V104 102 1912 SH SOLE 0 0 1912 SOUTHERN CO COM 842587107 40 910 SH SOLE 0 0 910 AMGEN INC COM 031162100 857 4134 SH SOLE 0 0 4134 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 625 10630 SH SOLE 0 0 10630 3M CO COM 88579Y101 217 1031 SH SOLE 0 0 1031 SCHWAB STRATEGIC TR US TIPS ETF 808524870 7509 139153 SH SOLE 0 0 139153 REALITY SHS ETF TR DIVS ETF 75605A108 5281 194521 SH SOLE 0 0 194521 NORTHROP GRUMMAN CORP COM 666807102 6 19 SH SOLE 0 0 19 BRISTOL MYERS SQUIBB CO COM 110122108 1045 16840 SH SOLE 0 0 16840 MICROSOFT CORP COM 594918104 13044 114051 SH SOLE 0 0 114051 VANGUARD GROUP DIV APP ETF 921908844 229 2071 SH SOLE 0 0 2071 ISHARES TR RUS MID CAP ETF 464287499 232 1050 SH SOLE 0 0 1050 STARBUCKS CORP COM 855244109 86 1510 SH SOLE 0 0 1510 BANK MONTREAL QUE COM 063671101 57 685 SH SOLE 0 0 685 ISHARES TR S&P US PFD STK 464288687 38 1027 SH SOLE 0 0 1027 ENERPLUS CORP COM 292766102 232 18800 SH SOLE 0 0 18800 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 276 7427 SH SOLE 0 0 7427 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 355 6144 SH SOLE 0 0 6144 MERCK & CO INC COM 58933Y105 98 1383 SH SOLE 0 0 1383 ISHARES TR MSCI EMG MKT ETF 464287234 67 1565 SH SOLE 0 0 1565 ISHARES TR RUSSELL 2000 ETF 464287655 46 271 SH SOLE 0 0 271 ISHARES TR MULTIFACTOR INTL 46434V274 1052 37452 SH SOLE 0 0 37452 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 282 10161 SH SOLE 0 0 10161 ALEXION PHARMACEUTICALS INC COM 015351109 252 1814 SH SOLE 0 0 1814 REALITY SHS ETF TR DIVCON DIV ETF 75605A603 4113 158251 SH SOLE 0 0 158251 ISHARES INC MLT FCTR EMG MKT 46434G889 6922 160112 SH SOLE 0 0 160112 FLAHERTY&CRMN PFD SEC INCOM COM 338478100 1422 78060 SH SOLE 0 0 78060 WISDOMTREE TR EUROPE SMCP DV 97717W869 437 6908 SH SOLE 0 0 6908 MCDONALDS CORP COM 580135101 68 404 SH SOLE 0 0 404 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 212 2233 SH SOLE 0 0 2233 ALPHABET INC CAP STK CL A 02079K305 1978 1639 SH SOLE 0 0 1639 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 1968 65199 SH SOLE 0 0 65199 ALLERGAN PLC SHS G0177J108 413 2170 SH SOLE 0 0 2170 MCCORMICK & CO INC COM NON VTG 579780206 6220 47210 SH SOLE 0 0 47210 GOLDMAN SACHS GROUP INC COM 38141G104 1735 7737 SH SOLE 0 0 7737 APPLIED MATLS INC COM 038222105 207 5345 SH SOLE 0 0 5345 CHECK POINT SOFTWARE TECH LT ORD M22465104 372 3162 SH SOLE 0 0 3162 CELGENE CORP COM 151020104 243 2717 SH SOLE 0 0 2717 ICON PLC SHS G4705A100 1572 10226 SH SOLE 0 0 10226 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 761 12260 SH SOLE 0 0 12260 EMERSON ELEC CO COM 291011104 214 2788 SH SOLE 0 0 2788 CLOROX CO DEL COM 189054109 7029 46733 SH SOLE 0 0 46733 HONEYWELL INTL INC COM 438516106 946 5688 SH SOLE 0 0 5688 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 1900 97794 SH SOLE 0 0 97794 SCHWAB CHARLES CORP NEW COM 808513105 1578 32099 SH SOLE 0 0 32099 WISDOMTREE TR US MIDCAP DIVID 97717W505 243 6600 SH SOLE 0 0 6600 ALPHABET INC CAP STK CL C 02079K107 6885 5769 SH SOLE 0 0 5769 CATERPILLAR INC DEL COM 149123101 75 494 SH SOLE 0 0 494 ISHARES TR MSCI EAFE ETF 464287465 69 1021 SH SOLE 0 0 1021 ISHARES TR EAFE GRWTH ETF 464288885 1170 14611 SH SOLE 0 0 14611 PROSHARES TR INVT INT RT HG 74347B607 296 3909 SH SOLE 0 0 3909 BANK AMER CORP COM 060505104 1381 46876 SH SOLE 0 0 46876 AFLAC INC COM 001055102 862 18318 SH SOLE 0 0 18318 UNITED PARCEL SERVICE INC CL B 911312106 576 4931 SH SOLE 0 0 4931 VANECK VECTORS ETF TR BDC INCOME ETF 92189F411 192 11263 SH SOLE 0 0 11263 ISHARES TR MULTIFACTOR USA 46434V290 10335 237798 SH SOLE 0 0 237798 CONOCOPHILLIPS COM 20825C104 172 2219 SH SOLE 0 0 2219 XILINX INC COM 983919101 160 2000 SH SOLE 0 0 2000 BLACKROCK INC COM 09247X101 996 2113 SH SOLE 0 0 2113 ISHARES TR CORE S&P500 ETF 464287200 168 575 SH SOLE 0 0 575 SEMPRA ENERGY COM 816851109 18 156 SH SOLE 0 0 156 ISHARES TR USA QUALITY FCTR 46432F339 1352 14957 SH SOLE 0 0 14957 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 24 270 SH SOLE 0 0 270 MOLSON COORS BREWING CO CL B 60871R209 6141 99860 SH SOLE 0 0 99860 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 516 4289 SH SOLE 0 0 4289 JOHNSON & JOHNSON COM 478160104 16647 120484 SH SOLE 0 0 120484 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 522 29114 SH SOLE 0 0 29114 PAYPAL HLDGS INC COM 70450Y103 115 1314 SH SOLE 0 0 1314 S&P GLOBAL INC COM 78409V104 701 3588 SH SOLE 0 0 3588 SPDR GOLD TRUST GOLD SHS 78463V107 51 455 SH SOLE 0 0 455