As the president of Lucia Securities, Lucia Capital Group’s broker/dealer arm, Tiy O’Neal is directly involved in the strategic oversight of all broker/dealer activities, leads the acquisition transition team, plays an important role in client service efforts, and provides leadership and guidance to the compliance, supervision, and operational aspects of the organization.
Tiy has been in the financial services business for nearly 30 years and has held various senior executive roles within the financial services industry, serving as president of both Western Securities Clearing Corporation, a provider of clearing services to broker-dealers, and Tradewell Discount Investing, a provider of online investing capabilities to end clients and registered investment advisory firms. Prior to joining Lucia Capital Group, Tiy was the chief operations officer at First Allied Securities, where she worked for approximately 20 years.
Tiy attended the University of Central Florida and holds industry standard licenses Series 4 (Compliance Registered Options Principal), 7 (General Securities Representative Exam), 24 (General Securities Principal), and 63 (Uniform Securities Agent State Law Exam) licenses.
Tiy loves helping people and is an active member in her church, volunteering for AWANA (a children’s ministry) as well as women’s ministries.
In her spare time, Tiy enjoys spending time with her family and playing a wide variety of sports and games. She and her husband of over 25 years, Rob, play softball together and have four children, a granddaughter, two cats, and a dog.
Check the background for Tiy O’Neal on FINRA’s BrokerCheck.