John Lombardi
John Lombardi is a CFP-designated registered investment advisor at Schwab Wealth Advisory, INC., based in New York, NY, with 16 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
SWAI does not directly charge clients for investment advice. Schwab pays SWAI a fee for the investment advice provided to SWA Accounts. SWAI Representatives provide periodic recommendations to clients about how to allocate assets and which securities to buy, sell and hold in a SWA account.
Location
915 Broadway, New York, NY, 10010
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
John sells fixed and medical insurance, dedicating about a quarter of his time to this activity since 2019. He also works as a Building Permits Examiner for the Town of East Hampton, spending about a quarter of his time in this non-investment related role since 2023.
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
Schwab Wealth Advisory, INC.
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Citizens Securities, INC.Broker
Citizens Securities, INC.
Santander Securities
Santander Securities LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
J.P. Morgan Securities INC.Broker
Neovest TradingBroker
Wells Fargo Securities INC.Broker
Prudential Securities IncorporatedBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.