John Lombardi

SCHWAB WEALTH ADVISORY

New York City, NY 10010

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CRD#: 2739162

Professional summary

John Lombardi, who also goes by John Joseph Lombardi Mr., John Joseph Lombardi, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in New York City, New York and CHARLES SCHWAB & CO., INC. located in New York City, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 12 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Joseph Lombardi Mr. | John Joseph Lombardi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lombardi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 9, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 915 Broadway Ground Floor, New York City, NY 10010

RIA

CRD#: 159035

New York City, NY

Current

December 9, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 915 Broadway Ground Floor, New York City, NY 10010

RIA

CRD#: 5393

New York City, NY

Past

August 1, 2024 - September 10, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAG HARBOR, NY

Past

May 16, 2024 - September 10, 2025

LPL FINANCIAL LLC

CRD#: 6413

SAG HARBOR, NY

Past

May 29, 2019 - May 17, 2024

OSAIC FS, INC.

RIA

CRD#: 3870

WORCESTER, MA

Past

May 23, 2019 - May 17, 2024

OSAIC FS, INC.

CRD#: 3870

WORCESTER, MA

Past

June 13, 2016 - May 21, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

NATICK, MA

Past

June 13, 2016 - May 21, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

NATICK, MA

Past

December 15, 2014 - June 9, 2016

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

CLINTON, MA

Past

December 11, 2014 - June 9, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

CLINTON, MA

Past

September 26, 2013 - December 5, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEST BOYLSTON, MA

Past

September 26, 2013 - December 5, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEST BOYLSTON, MA

Past

January 3, 2013 - May 13, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WELLESLEY, MA

Past

December 12, 2012 - May 13, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WELLESLEY, MA

Past

December 15, 2006 - October 2, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 20, 2006 - December 15, 2006

NEOVEST TRADING

CRD#: 39798

NEW YORK, NY

Past

December 20, 1996 - August 11, 1998

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

May 21, 1996 - October 31, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(12/9/2025)

Florida
(12/9/2025)

New Jersey
(12/9/2025)

New York
(12/9/2025)

IAR

New York
(12/9/2025)

Pennsylvania
(12/9/2025)

IAR

Texas
(12/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/2/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/21/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2012

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

9800 Schwab Way, Lone Tree, CO 80124

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (12/11/2025)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John Lombardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Lombardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FS, INC.

OSAIC FS, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES INC.

NEOVEST TRADING

WELLS FARGO SECURITIES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2013

Series 63

Date: 10/20/2006

Series 65

Date: 6/21/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2012

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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