Theresa J. Ochs
Compliance Officer chez Lucia Securities LLC
Profil
Theresa J.
Ochs is currently the Chief Compliance Officer at Lucia Securities LLC since 2015.
She previously worked as the Principal at First Allied Securities, Inc. from 2007 to 2011.
Additionally, she served as the Secretary at Destra Multi-Alternative Fund from 2015 to 2018.
Theresa also held the position of Chief Compliance Officer at Raymond J.
Lucia Cos., Inc. from 2009 to 2011.
She is also associated with Lucia Wealth Services LLC as the Chief Operating Officer.
Postes actifs de Theresa J. Ochs
| Sociétés | Poste | Début |
|---|---|---|
Lucia Securities LLC
 Lucia Securities LLC Investment ManagersFinance Lucia Securities LLC engages in the provision of financial advice to individuals, affluent families, and business owners. It offers a range of account types and investment options which include brokerage accounts, retirement accounts, stocks, bonds, mutual funds, annuities, and alternative investments. The company is headquartered in San Diego, CA. | Compliance Officer | 01/01/2009 |
Anciens postes connus de Theresa J. Ochs
| Sociétés | Poste | Fin |
|---|---|---|
Destra Multi-Alternative Fund
 Destra Multi-Alternative Fund Investment Trusts/Mutual FundsMiscellaneous Destra Multi-Alternative Fund is a non-diversified and closed-end management fund, which invests in real estate investment trusts, debt and equity income securities, and alternative investment funds. It seeks capital appreciation with an emphasis on income generation. The company was founded on June 03, 2011 and is headquartered in Bozeman, MT. | Secrétaire Général | 01/03/2018 |
Raymond J. Lucia Cos., Inc.
 Raymond J. Lucia Cos., Inc. Investment ManagersFinance Raymond J. Lucia Cos., Inc. provides investment advice. The private company is based in San Diego, CA. | Compliance Officer | 01/01/2011 |
First Allied Securities, Inc.
 First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | Corporate Officer/Principal | 01/01/2011 |
Lucia Wealth Services LLC
 Lucia Wealth Services LLC Investment ManagersFinance Lucia Wealth Services LLC (LWS) is an investment advisory firm headquartered in San Diego, California. The firm was founded in 2010 and is a direct subsidiary of Lucia Capital Group LLC. LWS offers asset management services to individuals, trusts, estates, private foundations, high-net-worth individuals, and business owners. | Directeur des opérations | - |
Expériences
Fonctions occupées
Relations
Relations au 1er degré
Entreprises liées au 1er degré
Homme
Femme
Administrateurs
Exécutifs
Sociétés liées
| Entreprise privées | 5 |
|---|---|
Destra Multi-Alternative Fund
Destra Multi-Alternative Fund Investment Trusts/Mutual FundsMiscellaneous Destra Multi-Alternative Fund is a non-diversified and closed-end management fund, which invests in real estate investment trusts, debt and equity income securities, and alternative investment funds. It seeks capital appreciation with an emphasis on income generation. The company was founded on June 03, 2011 and is headquartered in Bozeman, MT. | Miscellaneous |
Lucia Wealth Services LLC
Lucia Wealth Services LLC Investment ManagersFinance Lucia Wealth Services LLC (LWS) is an investment advisory firm headquartered in San Diego, California. The firm was founded in 2010 and is a direct subsidiary of Lucia Capital Group LLC. LWS offers asset management services to individuals, trusts, estates, private foundations, high-net-worth individuals, and business owners. | Finance |
Lucia Securities LLC
Lucia Securities LLC Investment ManagersFinance Lucia Securities LLC engages in the provision of financial advice to individuals, affluent families, and business owners. It offers a range of account types and investment options which include brokerage accounts, retirement accounts, stocks, bonds, mutual funds, annuities, and alternative investments. The company is headquartered in San Diego, CA. | Finance |
Raymond J. Lucia Cos., Inc.
Raymond J. Lucia Cos., Inc. Investment ManagersFinance Raymond J. Lucia Cos., Inc. provides investment advice. The private company is based in San Diego, CA. | Finance |
First Allied Securities, Inc.
First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | Finance |
