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Lucia De luna

Charles Schwab & CO., Inc.

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About Lucia De luna

Lucia De luna has been in the financial services industry since 2006. Lucia is currently a registered representative at Charles Schwab & Co., Inc.. Previous employment includes J.P. MORGAN CLEARING CORP., J.P. MORGAN SECURITIES INC., MML INVESTORS SERVICES, INC., E*TRADE CLEARING LLC, and E*TRADE SECURITIES LLC. Lucia has passed the Series 7, Series 24, Series 4, Series 63, and SIE exams.

Firm Information

Lucia De luna 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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Lucia De luna’s Registration & Firm History

CA

12/17/2020 - Present

Charles Schwab & CO., Inc. (San Francisco CA)

CA

10/23/2007 - 08/08/2011

J.P. MORGAN CLEARING CORP. (SAN FRANCISCO CA)

CA

10/23/2007 - 07/02/2009

J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)

CA

05/30/2006 - 06/27/2007

MML INVESTORS SERVICES, INC. (SACRAMENTO CA)

NJ

09/03/2002 - 02/03/2006

E*TRADE CLEARING LLC (JERSEY CITY NJ)

NJ

07/18/2000 - 09/03/2002

E*TRADE SECURITIES LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 09/14/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/18/2001

Series 4 - Registered Options Principal Examination

BC

Issued 01/19/2001

Series 24 - General Securities Principal Examination

BC

Issued 12/17/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/08/2020

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Lucia De luna.
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