Modica Financial Services

Public-record details

Address

50 Harbor Pointe, Lebanon, TN 37087

Phone

(805) 712-4044

Listed under

Financial planning, Hourly fees, % of assets managed, Retirement plan consulting

Legal name

Modica Jr. Joseph Nicholas

CRD number

135583

Registration

State registered: CA, TN

Compensation (Form ADV 5.E)

Percentage of assets under management; Hourly charges

Commissions

None reported (Form ADV Item 5.E)

Services (Form ADV 5.G)

Financial planning; Portfolio management for individuals/small businesses; Pension consulting

Regulatory assets under management

$3.1 million

Accounts managed

12

Clients reported (Form ADV 5.D)

12

Individual / high-net-worth clients

12 / 0

Employees

1

Other business activities (Form ADV 6.A)

Also active as: insurance broker or agent, accountant or accounting firm

Disclosures reported on Form ADV

None reported

Latest Form ADV filing

2026-02-20

State registered (CA, TN) investment adviser, CRD 135583, per the SEC IAPD compilation report of 2026-09-29. Source: SEC Investment Adviser Public Disclosure (IAPD) (record). Data as of 2026-09-30.

Read the official record

• SEC IAPD summary for CRD 135583 — registration, Form ADV, the Part 2 brochure (fees, conflicts, minimums).
• FINRA BrokerCheck — look up the individual advisers at this firm.

Figures are what the firm reported on Form ADV Part 1A. “No commissions reported” means the firm did not check commissions as a form of compensation in Item 5.E; check Item 6.A activities and the Part 2 brochure for other conflicts. We do not rate or rank advisers.