JL
James K. Lombardo
QUINT CAPITAL
Sarasota, FL 34241
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CRD#: 1229340
JL
Professional summary
James Kingsley Lombardo is a registered financial advisor currently at QUINT CAPITAL CORPORATION located in Sarasota, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 52 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Kingsley Lombardo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Kingsley Lombardo'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®
NoneExperience
Current
May 8, 2019 - Present
QUINT CAPITAL CORPORATION
Office #1: 7045 Westwood Drive, Sarasota, FL 34241RIA
BD
CRD#: 26586
Sarasota, FL
Current
January 3, 2019 - Present
QUINT CAPITAL CORPORATION
Office #1: 230 Park Ave - 361w, New York, NY 10169Office #2: 230 Park Ave - 361w, New York, NY 10169RIA
BD
CRD#: 26586
NEW YORK, NY
Past
October 11, 2013 - January 7, 2019
PETERSEN INVESTMENTS, INC.
RIA
CRD#: 38537
BEDFORD, NY
Past
March 14, 2001 - January 7, 2019
PETERSEN INVESTMENTS, INC.
BD
CRD#: 38537
BEDFORD, NY
Past
May 23, 1997 - February 8, 2001
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
February 14, 1990 - April 29, 1997
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
February 7, 1990 - March 1, 1990
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
BD
CRD#: 10620
Past
December 12, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
March 15, 1989 - January 30, 1990
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
March 13, 1984 - April 13, 1989
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
BD
CRD#: 7404
Past
January 16, 1984 - March 14, 1984
M V SECURITIES, INC. INC.
BD
CRD#: 7201
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".
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
California(1/4/2019)
RR
Connecticut(1/15/2019)
RR
Florida(5/8/2019)
IAR
Florida(5/8/2019)
RR
New Jersey(3/1/2019)
RR
New York(1/3/2019)
IAR
New York(3/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/5/1987
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
QC
QUINT CAPITAL CORPORATION
CHAMPION CAPITAL CORPORATION | SUNSHINE SECURITIES CORPORATION | QUINT CAPITAL MANAGEMENT LLC | QUINT CAPITAL MANAGEMENT | QUINT CAPITAL CORPORATION | QUINT CAPITAL | QUINT CAP | QCAP HOLDINGS LLC (NAME CHANGE OF PARENT FROM QUINT CAPITAL LLC) | QCAP | LEGACY TRUST ADVISORS | ENTERPRISE SECURITIES CORPORATION
CRD#: 26586 / SEC#: 801-128990, 8-42649
RIA
Registered Investment Advisory firm - SEC (11/8/2023 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)New Jersey
Registered Investment Advisory firm - SEC (12/12/2023 Terminated)New York
Registered Investment Advisory firm - SEC (11/22/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/3/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
230 Park Ave - 361w, New York, NY 10169
Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169
Phone number
(212) 682-5090
Established
Florida since 05/28/1989
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
16
SEC notice filing (7 States and Territories)
FINRA licenses (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 73 |
| AUM (Assets Under Management) | $ 147,573,714 |
Disclosures
| Regulatory Event | 1 |
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.
