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https://www.bbb.org/us/ca/san-diego/profile/investment-management/lucia-capital-group-1126-172001580
In May 2010 I turned over $ 415,000 to RJL Wealth Management (Currently Lucia Capital Group) for them to manage my retirement account. They invested $265,000 in …
https://www.bbb.org/us/nj/ridgewood/profile/investment-advisory-services/rjl-financial-group-0221-29004622
When considering complaint information, please take into account the company's size and volume of transactions, and understand that the nature of complaints and a firm's responses to them are ...
https://www.sec.gov/litigation/admin/2012/34-67781.pdf
1. Raymond J. Lucia Companies, Inc. (“RJL”) is a California corporation located in San Diego, California which did business as “RJL Wealth Management” until it abandoned that business name in May 2010. RJL was registered with the Commission as an investment adviser from September 2002 through December 2011 (CRD No. 115670) .
https://www.raymondjames.ca/contact-us/client-concerns
Complaint Resolution Policy: Raymond James Ltd. ("RJL") has procedures in place to handle any written or verbal complaint received in a fair and prompt manner. This is a summary of those procedures, which is provided to new clients and those who have filed a complaint. RJL's policy is to request that all complaints be filed in writing.
https://trump-russia.com/tag/rjl-wealth-management/
RJL manages more than $300 million in assets in 4,880 accounts, according to its filing with federal regulators. As I noted in an earlier post on Lucia’s fees, the RJL Wealth Management Program charges staggeringly high fees of as much as 2.9 percent annually.
https://www.shufirm.com/ray-lucia,-sr.-and-his-buckets-of-money-strategy-a-bloodbath-for-his-clients
Lucia’s son, Ray Lucia, Jr., still operates as a financial adviser in San Diego under various firms including RJL Capital Management, RJL Wealth Management and Lucia Securities, some of the same firms with which his father, Ray Lucia, Sr. was associated.
https://trump-russia.com/tag/envestnet/
RJL manages more than $300 million in assets in 4,880 accounts, according to its filing with federal regulators. As I noted in an earlier post on Lucia’s fees, the RJL Wealth Management Program charges staggeringly high fees of as much as 2.9 percent annually.
https://www.financial-planning.com/news/sec-tags-advisor-radio-personality-with-fraud-charges
The order cites Lucia himself as well as Raymond J. Lucia Companies, which had done business under the name RJL Wealth Management, registered as an investment advisor with the SEC from September ...Author: Kenneth Corbin
https://riabiz.com/a/2012/9/19/with-sec-coming-down-hard-tv-and-radio-star-ria-principal-in-san-diego-makes-his-case-to-listeners
Sep 19, 2012 · Lucia is vice president of RJL Wealth Management LLC, an RIA with more than 4,700 accounts and about $300 million in assets. The firm’s website explains that Lucia does not offer individual investment advisory solutions for the RIA nor is he a registered representative of any securities firm, including Lucia Securities LLC.
http://www.fivestarprofessional.com/fiveStarAssets/pdfs/sections/SDWM12_MagSection.pdf
Wealth Managers In a consumer study about dynamics between wealth manag- ... • Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority. • Filed for personal bankruptcy. ... Jr. · RJL Wealth Management Page 6 Kyle Malmstrom · Centara Capital
https://brokercomplaintregistry.com/investment-broker-blacklist/
The Investment Blacklist. Unfortunately, every day there are Investment brokers looking to scam unsuspecting victims. The table below is a blacklist consisting of crypto brokers who have scammed those who made complaints on Broker Complaint Registry.
http://www.raymondjames.ca/
Wealth Management. Your Raymond James advisor will help you prepare for life’s major financial milestones and every moment in between. Explore Wealth Management. Corporations & Institutions. Together we take a strategic approach to capital markets, backed by the strength of full-service offerings and broad and deep industry expertise. ...
https://www.iiroc.ca/investors/choosinganadvisor/Pages/Advantages-of-Using-an-IIROC-Registered-Advisor.aspx
Additional courses are required if advisors or RRs wish to sell options or futures. To provide discretionary advice or portfolio management services, they must complete the Wealth Management Investment Management Supplement (the IMT) and the Portfolio Management Techniques Course (the PMT).
https://www.californiasecuritiesfraudlawyerblog.com/category/securities-fraud/
The Alcala Law Firm is investigating claims about the sales practices of Ray Lucia, a San Diego, California, financial advisor and radio personality best known for his Buckets of Money (BOM) investing strategy. Raymond Lucia is the principal of RJL Wealth Management LLC (formerly Lucia Financial LLC). Recently, the Securities and Exchange Commission (SEC) filed a securities fraud lawsuit ...
https://www.thinkadvisor.com/2012/09/06/sec-enforcement-roundup-radio-financial-guru-charg/
SEC Enforcement Roundup: Radio Financial Guru Charged Recent SEC enforcement actions include charges against a California man who tipped off a hedge fund manager with inside information and a ...
https://www.courtlistener.com/opinion/2665405/gilberg-v-metlife-inc/
Defendant filed a third-party complaint against Bank of America, N.A., d/b/a U.S. Trust Bank of America Private Wealth Management, as successor in interest to U.S. Trust Company, N.A. ("U.S. Trust''). Before the Court is U.S. Trust's Motion to Dismiss the third-party complaint. For the following reasons, U.S. Trust's Motion to Dismiss is GRANTED.
https://moneysmart.gov.au/companies-you-should-not-deal-with/
Advisor Dealer Services Inc (ADS Inc.) (Note: this company is not connected and should not be confused with the legitimate firm Advisor Dealer Services Inc (ADS Inc) of 6125 Memorial Drive, Dublin Ohio, USA telephone 866-633-3371, which is a registered broker in the USA (CRD No. #36773 ).)
https://ca.linkedin.com/in/roopa-sathyamurthy-mba-pmp-csm-ccmp-470b8b6
• Successfully delivered the implementation of a client information management solution enabling digitization of client onboarding moving towards eSignatures and going paperless • Work closely with an industry leading IT vendor for Wealth Solutions from initial contract to delivery on implementation of their wealth management solution in RJLTitle: Senior Project Manager at First …
https://www.linkedin.com/in/raymondseifritz
RJL Wealth Management is a comprehensive, independent investment advisory firm that offers financial planning and investment management for retirees and those nearing retirement.Title: Sales Supervision Manager at …
http://www.fivestarprofessional.com/fiveStarAssets/pdfs/sections/SDWM14_Section.pdf
SPECIAL ADERISING SECION 2014 Five Star Wealth Managers — www.fivestarprofessional.com Finding a wealth manager who suits your needs can be a daunting task. In fact, many consumers have a hard time figuring out where to even begin. Sometimes, a few simple questions can set one off on the right path. Asking a wealth manager what makes
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