# EDGAR Filing Document

**Accession Number:** 0001775391
**File Stem:** 0001172661-23-000727
**Filing Date:** 2023-2
**Character Count:** 15463
**Document Hash:** d5df52f5efc54d1e538d66213b636c44
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001172661-23-000727.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001172661-23-000727

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Joseph P. Lucia & Associates, LLC
- **CENTRAL INDEX KEY:** 0001775391
- **IRS NUMBER:** 262909413
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-19484
- **FILM NUMBER:** 23617116

**BUSINESS ADDRESS:**
- **STREET 1:** 3505 HILL BLVD.
- **STREET 2:** SUITE J
- **CITY:** YORKTOWN HEIGHTS
- **STATE:** NY
- **ZIP:** 10598
- **BUSINESS PHONE:** 9143526600

**MAIL ADDRESS:**
- **STREET 1:** 3505 HILL BLVD.
- **STREET 2:** SUITE J
- **CITY:** YORKTOWN HEIGHTS
- **STATE:** NY
- **ZIP:** 10598

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Joseph P. Lucia  Associates LLC<br>**Address:** 3505 Hill Blvd.<br>Suite J<br>Yorktown Heights, NY 10598

**Form 13F File Number:** 028-19484

**CRD Number (if applicable):** 000147625

**SEC File Number (if applicable):** 801-76540

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Joseph P. Lucia<br>**Title:** President/Chief Compliance Officer<br>**Phone:** 845-621-7200

**Signature, Place, and Date of Signing:**

/s/ 	Joseph P. Lucia  Yorktown Heights, NY  02-13-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 114

**Form 13F Information Table Value Total:** $133530787

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ALDEYRA THERAPEUTICS INC | COM | 01438T106 |  | 62280 | 12000 | SH |  | SOLE |  | 0 | 0 | 12000 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 273288 | 3080 | SH |  | SOLE |  | 0 | 0 | 3080 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 465149 | 5272 | SH |  | SOLE |  | 0 | 0 | 5272 |
| ALPS ETF TR | SECTR DIV DOGS | 00162Q858 |  | 1930492 | 37529 | SH |  | SOLE |  | 0 | 0 | 37529 |
| AMAZON COM INC | COM | 023135106 |  | 2366196 | 28169 | SH |  | SOLE |  | 0 | 0 | 28169 |
| AMERICAN CENTY ETF TR | US SML CP VALU | 025072877 |  | 784739 | 10532 | SH |  | SOLE |  | 0 | 0 | 10532 |
| APPLE INC | COM | 037833100 |  | 5495406 | 42295 | SH |  | SOLE |  | 0 | 0 | 42295 |
| AT INC | COM | 00206R102 |  | 188426 | 10235 | SH |  | SOLE |  | 0 | 0 | 10235 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 207272 | 671 | SH |  | SOLE |  | 0 | 0 | 671 |
| BOEING CO | COM | 097023105 |  | 318606 | 1673 | SH |  | SOLE |  | 0 | 0 | 1673 |
| CONSOLIDATED EDISON INC | COM | 209115104 |  | 916532 | 9616 | SH |  | SOLE |  | 0 | 0 | 9616 |
| CREDIT SUISSE HIGH YIELD BD | SH BEN INT | 22544F103 |  | 215046 | 122185 | SH |  | SOLE |  | 0 | 0 | 122185 |
| DISNEY WALT CO | COM | 254687106 |  | 1056133 | 12156 | SH |  | SOLE |  | 0 | 0 | 12156 |
| EATON VANCE TAX-MANAGED GLOB | COM | 27829C105 |  | 601504 | 70682 | SH |  | SOLE |  | 0 | 0 | 70682 |
| ETF MANAGERS TR | PRIME CYBR SCRTY | 26924G201 |  | 2820749 | 64035 | SH |  | SOLE |  | 0 | 0 | 64035 |
| ETF SER SOLUTIONS | US GLB JETS | 26922A842 |  | 530351 | 31051 | SH |  | SOLE |  | 0 | 0 | 31051 |
| FIDELITY COVINGTON TRUST | MSCI MATLS INDEX | 316092881 |  | 213536 | 4892 | SH |  | SOLE |  | 0 | 0 | 4892 |
| GLOBAL X FDS | RATE PREFERRED | 37954Y376 |  | 225360 | 10016 | SH |  | SOLE |  | 0 | 0 | 10016 |
| GLOBAL X FDS | AUTONMOUS EV ETF | 37954Y624 |  | 515925 | 25965 | SH |  | SOLE |  | 0 | 0 | 25965 |
| GLOBAL X FDS | GLOBX SUPDV US | 37950E291 |  | 532884 | 28360 | SH |  | SOLE |  | 0 | 0 | 28360 |
| GLOBAL X FDS | LITHIUM BTRY ETF | 37954Y855 |  | 525210 | 8961 | SH |  | SOLE |  | 0 | 0 | 8961 |
| GLOBAL X FDS | SOCIAL MED ETF | 37950E416 |  | 932635 | 30085 | SH |  | SOLE |  | 0 | 0 | 30085 |
| GLOBAL X FDS | NASDAQ 100 COVER | 37954Y483 |  | 1677900 | 105462 | SH |  | SOLE |  | 0 | 0 | 105462 |
| GLOBAL X FDS | FINTECH ETF | 37954Y814 |  | 625774 | 32508 | SH |  | SOLE |  | 0 | 0 | 32508 |
| HOME DEPOT INC | COM | 437076102 |  | 212437 | 673 | SH |  | SOLE |  | 0 | 0 | 673 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 |  | 848722 | 6024 | SH |  | SOLE |  | 0 | 0 | 6024 |
| INVESCO EXCH TRADED FD TR II | SOLAR ETF | 46138G706 |  | 240921 | 3303 | SH |  | SOLE |  | 0 | 0 | 3303 |
| INVESCO EXCH TRADED FD TR II | S HDL VOL | 46138E362 |  | 586051 | 13371 | SH |  | SOLE |  | 0 | 0 | 13371 |
| INVESCO EXCH TRADED FD TR II | TAXABLE MUN BD | 46138G805 |  | 1315401 | 51163 | SH |  | SOLE |  | 0 | 0 | 51163 |
| INVESCO EXCH TRADED FD TR II | S LOW VOL | 46138E354 |  | 760985 | 11909 | SH |  | SOLE |  | 0 | 0 | 11909 |
| INVESCO EXCHANGE TRADED FD T | S EQL FIN | 46137V340 |  | 5471617 | 96997 | SH |  | SOLE |  | 0 | 0 | 96997 |
| INVESCO EXCHANGE TRADED FD T | S EQL TEC | 46137V282 |  | 4893665 | 20140 | SH |  | SOLE |  | 0 | 0 | 20140 |
| INVESCO EXCHANGE TRADED FD T | S EQL STP | 46137V373 |  | 2717994 | 15940 | SH |  | SOLE |  | 0 | 0 | 15940 |
| INVESCO EXCHANGE TRADED FD T | S EQL ENR | 46137V365 |  | 1289741 | 17743 | SH |  | SOLE |  | 0 | 0 | 17743 |
| INVESCO EXCHANGE TRADED FD T | S EQL HLT | 46137V332 |  | 3678512 | 12752 | SH |  | SOLE |  | 0 | 0 | 12752 |
| INVESCO EXCHANGE TRADED FD T | GBL LISTED PVT | 46137V589 |  | 307876 | 32614 | SH |  | SOLE |  | 0 | 0 | 32614 |
| INVESCO EXCHANGE TRADED FD T | NASDAQ INTERNT | 46137V530 |  | 661417 | 5893 | SH |  | SOLE |  | 0 | 0 | 5893 |
| INVESCO EXCHANGE TRADED FD T | S EQL UTL | 46137V274 |  | 909662 | 7819 | SH |  | SOLE |  | 0 | 0 | 7819 |
| INVESCO EXCHANGE TRADED FD T | FINL PFD ETF | 46137V621 |  | 300096 | 20840 | SH |  | SOLE |  | 0 | 0 | 20840 |
| INVESCO EXCHANGE TRADED FD T | S EQL DIS | 46137V381 |  | 1173424 | 9962 | SH |  | SOLE |  | 0 | 0 | 9962 |
| INVESCO EXCHANGE TRADED FD T | S EQL IND | 46137V324 |  | 2221422 | 12461 | SH |  | SOLE |  | 0 | 0 | 12461 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 1272589 | 4779 | SH |  | SOLE |  | 0 | 0 | 4779 |
| ISHARES TR | 1 3 YR TREAS BD | 464287457 |  | 451841 | 5567 | SH |  | SOLE |  | 0 | 0 | 5567 |
| ISHARES TR | PFD AND INCM SEC | 464288687 |  | 2040580 | 66839 | SH |  | SOLE |  | 0 | 0 | 66839 |
| ISHARES TR | US AER DEF ETF | 464288760 |  | 533460 | 4769 | SH |  | SOLE |  | 0 | 0 | 4769 |
| ISHARES TR | CORE US AGGBD ET | 464287226 |  | 299214 | 3085 | SH |  | SOLE |  | 0 | 0 | 3085 |
| ISHARES TR | ISHARES SEMICDTR | 464287523 |  | 403309 | 1159 | SH |  | SOLE |  | 0 | 0 | 1159 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 |  | 239044 | 2401 | SH |  | SOLE |  | 0 | 0 | 2401 |
| ISHARES TR | ISHARES BIOTECH | 464287556 |  | 330851 | 2520 | SH |  | SOLE |  | 0 | 0 | 2520 |
| ISHARES TR | 0-5 YR TIPS ETF | 46429B747 |  | 1925216 | 19856 | SH |  | SOLE |  | 0 | 0 | 19856 |
| ISHARES TR | US HLTHCR PR ETF | 464288828 |  | 247613 | 925 | SH |  | SOLE |  | 0 | 0 | 925 |
| ISHARES TR | TIPS BD ETF | 464287176 |  | 468230 | 4399 | SH |  | SOLE |  | 0 | 0 | 4399 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 |  | 356610 | 3382 | SH |  | SOLE |  | 0 | 0 | 3382 |
| ISHARES TR | FLTG RATE NT ETF | 46429B655 |  | 2449410 | 48667 | SH |  | SOLE |  | 0 | 0 | 48667 |
| ISHARES TR | US OIL GS EX ETF | 464288851 |  | 481337 | 5183 | SH |  | SOLE |  | 0 | 0 | 5183 |
| ISHARES TR | GL CLEAN ENE ETF | 464288224 |  | 265772 | 13389 | SH |  | SOLE |  | 0 | 0 | 13389 |
| ISHARES TR | MICRO-CAP ETF | 464288869 |  | 215660 | 2000 | SH |  | SOLE |  | 0 | 0 | 2000 |
| ISHARES TR | U.S. MED DVC ETF | 464288810 |  | 1599390 | 30424 | SH |  | SOLE |  | 0 | 0 | 30424 |
| ISHARES TR | MORTGE REL ETF | 46435G342 |  | 237859 | 10483 | SH |  | SOLE |  | 0 | 0 | 10483 |
| ISHARES TR | SELECT DIVID ETF | 464287168 |  | 5739726 | 47593 | SH |  | SOLE |  | 0 | 0 | 47593 |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 46641Q332 |  | 763308 | 14008 | SH |  | SOLE |  | 0 | 0 | 14008 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 220192 | 1642 | SH |  | SOLE |  | 0 | 0 | 1642 |
| KKR INCOME OPPORTUNITIES FD | COM | 48249T106 |  | 966428 | 87777 | SH |  | SOLE |  | 0 | 0 | 87777 |
| META PLATFORMS INC | CL A | 30303M102 |  | 533227 | 4431 | SH |  | SOLE |  | 0 | 0 | 4431 |
| MICROSOFT CORP | COM | 594918104 |  | 454732 | 1896 | SH |  | SOLE |  | 0 | 0 | 1896 |
| MUSCLE MAKER INC | COM | 627333107 |  | 5714 | 16805 | SH |  | SOLE |  | 0 | 0 | 16805 |
| NOKIA CORP | SPONSORED ADR | 654902204 |  | 69600 | 15000 | SH |  | SOLE |  | 0 | 0 | 15000 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 590750 | 4042 | SH |  | SOLE |  | 0 | 0 | 4042 |
| PROSHARES TR | S 500 DV ARIST | 74348A467 |  | 5304180 | 58942 | SH |  | SOLE |  | 0 | 0 | 58942 |
| PUTNAM MANAGED MUN INCOME TR | COM | 746823103 |  | 461637 | 73509 | SH |  | SOLE |  | 0 | 0 | 73509 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 |  | 3324671 | 44012 | SH |  | SOLE |  | 0 | 0 | 44012 |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 |  | 951546 | 14413 | SH |  | SOLE |  | 0 | 0 | 14413 |
| SCHWAB STRATEGIC TR | US TIPS ETF | 808524870 |  | 3447157 | 66560 | SH |  | SOLE |  | 0 | 0 | 66560 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 |  | 2966526 | 53393 | SH |  | SOLE |  | 0 | 0 | 53393 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 |  | 1901853 | 42123 | SH |  | SOLE |  | 0 | 0 | 42123 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 |  | 1975159 | 30105 | SH |  | SOLE |  | 0 | 0 | 30105 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 |  | 2074898 | 46304 | SH |  | SOLE |  | 0 | 0 | 46304 |
| SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 |  | 308538 | 13035 | SH |  | SOLE |  | 0 | 0 | 13035 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 |  | 2073788 | 51192 | SH |  | SOLE |  | 0 | 0 | 51192 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 |  | 641484 | 4722 | SH |  | SOLE |  | 0 | 0 | 4722 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 |  | 3321574 | 26692 | SH |  | SOLE |  | 0 | 0 | 26692 |
| SELECT SECTOR SPDR TR | ENERGY | 81369Y506 |  | 1126299 | 12876 | SH |  | SOLE |  | 0 | 0 | 12876 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 |  | 253694 | 3403 | SH |  | SOLE |  | 0 | 0 | 3403 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 |  | 310200 | 4400 | SH |  | SOLE |  | 0 | 0 | 4400 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 |  | 402661 | 4100 | SH |  | SOLE |  | 0 | 0 | 4100 |
| SELECT SECTOR SPDR TR | FINANCIAL | 81369Y605 |  | 1790959 | 52367 | SH |  | SOLE |  | 0 | 0 | 52367 |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 81369Y100 |  | 1031979 | 13285 | SH |  | SOLE |  | 0 | 0 | 13285 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 |  | 504370 | 3905 | SH |  | SOLE |  | 0 | 0 | 3905 |
| SNOWFLAKE INC | CL A | 833445109 |  | 422725 | 2945 | SH |  | SOLE |  | 0 | 0 | 2945 |
| SPDR GOLD TR | GOLD SHS | 78463V107 |  | 281942 | 1662 | SH |  | SOLE |  | 0 | 0 | 1662 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 1872265 | 4896 | SH |  | SOLE |  | 0 | 0 | 4896 |
| SPDR SER TR | PORTFOLIO LN COR | 78464A367 |  | 259365 | 11553 | SH |  | SOLE |  | 0 | 0 | 11553 |
| SPDR SER TR | AEROSPACE DEF | 78464A631 |  | 348418 | 3166 | SH |  | SOLE |  | 0 | 0 | 3166 |
| SPDR SER TR | HLTH CR EQUIP | 78464A581 |  | 251962 | 2803 | SH |  | SOLE |  | 0 | 0 | 2803 |
| SPDR SER TR | S REGL BKG | 78464A698 |  | 2304194 | 39227 | SH |  | SOLE |  | 0 | 0 | 39227 |
| SSGA ACTIVE ETF TR | INCOM ALLO ETF | 78467V202 |  | 202770 | 6875 | SH |  | SOLE |  | 0 | 0 | 6875 |
| TESLA INC | COM | 88160R101 |  | 407110 | 3305 | SH |  | SOLE |  | 0 | 0 | 3305 |
| VANECK ETF TRUST | EMERGING MRKT HI | 92189F353 |  | 416769 | 22887 | SH |  | SOLE |  | 0 | 0 | 22887 |
| VANECK ETF TRUST | PREFERRED SECURT | 92189F429 |  | 2023830 | 121115 | SH |  | SOLE |  | 0 | 0 | 121115 |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 92189F676 |  | 3521618 | 17353 | SH |  | SOLE |  | 0 | 0 | 17353 |
| VANGUARD BD INDEX FDS | INTERMED TERM | 921937819 |  | 423029 | 5692 | SH |  | SOLE |  | 0 | 0 | 5692 |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 922908538 |  | 1979877 | 11014 | SH |  | SOLE |  | 0 | 0 | 11014 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 |  | 480584 | 2358 | SH |  | SOLE |  | 0 | 0 | 2358 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 |  | 900969 | 6662 | SH |  | SOLE |  | 0 | 0 | 6662 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 |  | 2137945 | 11648 | SH |  | SOLE |  | 0 | 0 | 11648 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 |  | 512912 | 3654 | SH |  | SOLE |  | 0 | 0 | 3654 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 |  | 437084 | 9357 | SH |  | SOLE |  | 0 | 0 | 9357 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 |  | 2227118 | 14667 | SH |  | SOLE |  | 0 | 0 | 14667 |
| VANGUARD WORLD FD | ESG INTL STK ETF | 921910725 |  | 334541 | 6801 | SH |  | SOLE |  | 0 | 0 | 6801 |
| VANGUARD WORLD FDS | FINANCIALS ETF | 92204A405 |  | 218821 | 2645 | SH |  | SOLE |  | 0 | 0 | 2645 |
| VANGUARD WORLD FDS | HEALTH CAR ETF | 92204A504 |  | 1411901 | 5692 | SH |  | SOLE |  | 0 | 0 | 5692 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 655994 | 16650 | SH |  | SOLE |  | 0 | 0 | 16650 |
| VIRTUS CONVERTIBLE  INCOME | COM | 92838X102 |  | 181999 | 53529 | SH |  | SOLE |  | 0 | 0 | 53529 |
| WISDOMTREE TR | CLOUD COMPUTNG | 97717Y691 |  | 908874 | 36239 | SH |  | SOLE |  | 0 | 0 | 36239 |

---