Bruce W. Lombardi
Professional summary
Bruce William Lombardi is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Stamford, Connecticut and ROCKEFELLER CAPITAL MANAGEMENT located in Stamford, Connecticut.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Bruce has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 2, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Bruce William Lombardi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce William Lombardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902September 19, 2025 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902January 29, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 300 First Stamford Place Suite 230, Stamford, CT 06902October 6, 2010 - October 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2010 - October 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2009 - November 13, 2009
J.P. MORGAN SECURITIES LLC
October 1, 2008 - April 6, 2009
J.P. MORGAN SECURITIES LLC
October 1, 2008 - November 13, 2009
J.P. MORGAN SECURITIES LLC
November 16, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 16, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
August 4, 2006 - November 17, 2006
CHASE INVESTMENT SERVICES CORP.
August 4, 2006 - November 17, 2006
CHASE INVESTMENT SERVICES CORP.
January 28, 2004 - August 1, 2006
J.P. MORGAN SECURITIES INC.
November 25, 1987 - April 19, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/11/2021)
(8/11/2021)
(3/1/2021)
(6/29/2021)
(9/1/2023)
(8/11/2021)
(3/1/2021)
(12/2/2024)
(3/3/2026)
(8/11/2021)
(8/11/2021)
(3/1/2021)
(8/11/2021)
(8/11/2021)
(2/27/2021)
(8/11/2021)
(8/11/2021)
Exams
Series 7TO
Date: 1/20/2021
General Securities Representative ExaminationSeries 2
Date: 2/9/1993
Non-Member General Securities ExaminationFINRA
Current Firm
ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFS OPCO LLC ("OPCO") | MEMBER | |
| ALEXANDER, MARK DAVID | PRINCIPAL OPERATIONS OFFICER | 2202934 |
| KOWALSKI, DEIRDRE PATTEN | PRINCIPAL FINANCIAL OFFICER | 1357509 |
| MIRZA, RIZWAN MOHAMMAD | CHIEF COMPLIANCE OFFICER | 5080469 |
| MORIARTY, EDMOND NICHOLAS | CO-CHIEF EXECUTIVE OFFICER | 1744318 |
| OUTLAW, MICHAEL WAYNE | CO-CHIEF EXECUTIVE OFFICER | 2760690 |
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
