Privacy Policy


What does Lucia Capital Group do with your personal information?


Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some, but not all, sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.


The types of personal information we collect and share depend on the product or service you have with us. This information can include the following:

  • Social Security number and income
  • Date of birth
  • Employment Information
  • Account balances, assets, and investment experience
  • Risk tolerance and transaction history


All financial companies need to share customers’ personal information to conduct everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information, the reasons Lucia Capital Group choose to share, and whether you can limit this sharing.

To Limit Our Sharing

Call (800) 644-1150

Please note: We do not share your share information except as indicated in this notice.


Call (800) 644-1150

Who we are

Who is providing this notice? LUCIA CAPITAL GROUP

What we do

How does Lucia Capital Group protect your personal information? To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. We employ physical, electronic, and procedural safeguards for the protection of the personal information we collect about you.

How does Lucia Capital Groupcollect your personal information? We collect your personal information, for example, when you

  • Open an account or seek advice about your investments
  • Direct us to buy or sell securities
  • Enter into an investment advisory contract or tell us about your investment or retirement portfolio
  • Apply for life, health, or long-term care insurance coverage

We also collect your personal information from others, such as credit bureaus, affiliates, or other companies.

Why can’t you limit all sharing? Federal law gives you the right to limit only

  • Sharing for affiliates’ everyday business purposes – information about your creditworthiness
  • Sharing for affiliates to market to you
  • Sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing. See Other Important Information below for more on your rights under state law.

What happens when I limit sharing for an account I hold jointly with someone else? Your choices will apply to everyone on your account unless you tell us otherwise.


Affiliates Companies related by common ownership or control. They can be financial and nonfinancial companies.

  • Lucia Insurance Services
  • Lucia Securities, LLC

Non-affiliates Companies not related by common ownership or control. They can be financial or nonfinancial companies.

  • RBC Capital Markets, LLC
  • Placemark Investments, Inc.
  • Investment Advisor Firms, mutual fund companies, and insurance companies

Joint marketing A formal agreement between non-affiliated financial companies that together market financial products or services to you.

  • Lucia Capital Group does not jointly market.

Other Important Information

For California Residents, we will limit the sharing of your nonpublic personal information to the extent required by California law.


Pursuant to Section 512(c)(2) of the Copyright Revision Act, as enacted through the Digital Millennium Copyright Act, Lucia Capital Group designates an agent as described below, to receive notifications of claimed infringement:

Legal name and address of service provider:
Lucia Capital Group
13520 Evening Creek Drive North, Suite 300
San Diego, CA 92128

Name under which service provider does business:
Lucia Capital Group

Name of designated agent:
Theresa Ochs
Lucia Capital Group

Contact information of designated agent:
Telephone: (800) 644-1150