Thomas E. Russell
Professional summary
Thomas Edward Russell is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Baltimore, Maryland.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Russell's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2017 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 1820 Lancaster Street Second Floor, Baltimore, MD 21231April 14, 2011 - May 17, 2017
INVEST FINANCIAL CORPORATION
April 5, 2004 - February 28, 2011
SENTINEL SECURITIES, LLC.
December 7, 2001 - April 6, 2004
DETWILER FENTON & CO.
July 16, 1998 - December 7, 2001
SECURITIES AMERICA, INC.
June 28, 1995 - August 12, 1998
LPL FINANCIAL LLC
July 18, 1991 - July 5, 1995
NORTHEAST SECURITIES, LLC
November 12, 1990 - August 1, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 16, 1989 - September 10, 1990
LPL FINANCIAL LLC
June 9, 1988 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
March 22, 1988 - June 22, 1988
MORGAN STANLEY DW INC.
November 3, 1987 - February 12, 1988
E. F. HUTTON & COMPANY INC
May 21, 1987 - October 2, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/31/2017)
(12/14/2017)
(11/20/2017)
(11/28/2017)
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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