John C. Lugano

LPS CAPITAL LLC

NEW YORK, NY 10022

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CRD#: 2906298

Professional summary

John Claude Lugano is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view John Claude Lugano's 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

May 30, 2013 - Present

LPS CAPITAL LLC

Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022

CRD#: 155246

NEW YORK, NY

Past

June 21, 2012 - June 3, 2013

OPEN TO THE PUBLIC INVESTING, INC.

CRD#: 127818

NEW YORK, NY

Past

November 17, 2009 - June 20, 2012

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

January 3, 2007 - December 10, 2009

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

November 21, 2000 - March 19, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

CRD#: 23741

NEW YORK, NY

Past

July 19, 2000 - November 15, 2000

FIRST BROKERS SECURITIES LLC

CRD#: 27369

JERSEY CITY, NJ

Past

September 25, 1998 - July 14, 2000

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

March 31, 1998 - September 18, 1998

CHAPDELAINE CORPORATE SECURITIES & CO

CRD#: 23741

NEW YORK, NY

Past

June 13, 1997 - December 1, 1997

TULLETT LIBERTY BROKERAGE INC.

CRD#: 19717

JERSEY CITY, NJ

State Registrations and Notice Filings

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

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

Connecticut
(7/9/2013)

Florida
(8/29/2013)

Massachusetts
(9/12/2013)

New York
(5/30/2013)

Exams

State Security Law Exam

Series 63

Date: 7/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPS CAPITAL LLC

DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

600 Lexington Avenue Suite 502, New York, NY 10022

Mailing Address

600 Lexinggton Avenue Suite 502, New York, NY 10022

Phone number

(212) 441-3810

Established

California since 05/18/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
LPS PARTNERS LLC	OWNER
MEENAN, MICHAEL J	SUPERVISING PRINCIPAL	5368683
TARLETON, JOHN WILLIAM	PRESIDENT, CCO, FINOP	1631047

Disclosures

Regulatory Event

Red Flags

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

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Firm Stability Insights

John C. Lugano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

OPEN TO THE PUBLIC INVESTING, INC.

BGC FINANCIAL, L.P.

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE CORPORATE SECURITIES & CO

FIRST BROKERS SECURITIES LLC

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE CORPORATE SECURITIES & CO

TULLETT LIBERTY BROKERAGE INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/30/1998

FINRA

Current Firm

LPS CAPITAL LLC

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LPS CAPITAL LLC

TRUST BUT VERIFY

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