John Sloan
Joseph P. Lucia & Associates · Yorktown Heights, New York
John Sloan is a fee-only financial advisor at Joseph P. Lucia & Associates in Yorktown Heights, New York. Joseph P. Lucia & Associates reports charging a percentage of assets and fixed fees on its Form ADV.
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Facts
| Firm | Joseph P. Lucia & Associates |
|---|---|
| Based in | Yorktown Heights, New York |
| Fee model (firm's Form ADV) | Percentage of assets · Fixed fees |
| Assets under management | $388.0M across 1,645 accounts |
| SEC registration | Investment adviser representative in NY, TX · CRD 5442912 |
| Exams passed | Series 63 (2011) · Series 65 (2009) |
| Firm size | 5 employees |
| Disclosures | None reported |
| Website | www.luciaandassociates.net |
| Profile |
How John's firm compares
- Joseph P. Lucia & Associates's average account is about $236,000, from its Form ADV (assets managed divided by 1,645 accounts).
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Questions about John
Is John Sloan a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: John holds no broker registration, and Joseph P. Lucia & Associates reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does John charge for financial advice?
John's firm, Joseph P. Lucia & Associates, reports charging a percentage of assets and fixed fees on its SEC Form ADV.
Where is John Sloan based?
John Sloan is based in Yorktown Heights, New York.
Is John Sloan registered with the SEC?
Yes. John Sloan is registered as an investment adviser representative in NY and TX (CRD 5442912), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Joseph P. Lucia & Associates manage?
Joseph P. Lucia & Associates reports $388.0M across 1,645 accounts in assets under management.
How do I contact John Sloan?
Through John's website, www.luciaandassociates.net.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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