Andrew D. Key
Professional summary
Andrew Douglas Key, who also goes by Andy Key, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Big Island, Virginia.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1983. Andrew has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Douglas Key's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2020 - Present
LOMBARD SECURITIES INCORPORATED
February 6, 2013 - January 16, 2020
CHAPIN, DAVIS
December 7, 2012 - February 7, 2013
SECURITIES AMERICA, INC.
May 16, 2003 - December 7, 2012
INVESTORS SECURITY COMPANY, INC.
March 20, 1992 - May 20, 2003
CAPITOL SECURITIES MANAGEMENT, INC.
July 5, 1983 - April 16, 1992
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2021)
(1/16/2020)
(1/16/2020)
(1/16/2020)
Exams
FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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