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John Philip Lancia

Charles Schwab & CO., Inc.

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About John Philip Lancia

John Philip Lancia has been in the financial services industry for over 30 years. John is currently registered with Charles Schwab & CO., Inc. and has a Series 7, Series 3, Series 55, Series 57TO and a SIE license. John's previous employers include UST Securities Corp., Charles Schwab & CO., Inc., Garban LLC, HSBC Securities, Inc. and CM&M Futures Inc. John is licensed in California and New Jersey.

Firm Information

John Lancia is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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John Lancia’s Registration & Firm History

NJ

07/01/2008 - Present

Charles Schwab & CO., Inc. (Jersey City NJ)

NY

09/14/2005 - 12/03/2007

UST SECURITIES CORP. (NEW YORK NY)

TX

11/10/1998 - 09/08/2005

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

06/04/1998 - 08/12/1998

GARBAN LLC (NEW YORK NY)

NY

10/26/1989 - 04/03/1998

HSBC SECURITIES, INC. (NEW YORK CITY NY)

NY

10/26/1989 - 12/14/1990

CM&M FUTURES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/07/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/17/2011

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/01/1993

Series 3 - National Commodity Futures Examination

BC

Issued 11/16/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for John Philip Lancia. Review regulatory record here.
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