As the chief compliance officer of Lucia Capital Group, Theresa Ochs is responsible for ongoing oversight of the compliance program. In this role, Theresa leads the firm’s risk management committee, acts as a regulatory contact for compliance-related matters, develops policies and procedures related to the firm’s compliance programs, and ensures that such policies are carried out and enforced.
Theresa has worked in the financial services industry for over 15 years. She began her career at the corporate office of Securities America, Inc., an independent broker/dealer where she held leadership positions in the operations and compliance departments. Theresa has been working with the Lucia family since 2007, when she became the OSJ of their securities-related businesses operating under two separate broker/dealers.
Theresa received her B.S. in business management from Bellevue University in 2000 and holds the FINRA Series 7, 24, 53, and 66 licenses. She is an active supporter of the San Diego Humane Society and routinely participates in their annual Walk for Animals.
Theresa and her husband of more than 15 years, Chris, enjoy traveling, doing home improvement projects, staying fit, and playing with their dog, Buddy.
Theresa Ochs is a Registered Principal of and offers securities through Lucia Securities, LLC, a Registered Broker/Dealer Member FINRA/SIPC and affiliate of Lucia Capital Group and Lucia Wealth Services.
Check the background for Theresa Ochs on FINRA’s BrokerCheck.