Eric A. Zakarin

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CRD#: 1708397

Professional summary

Eric Alan Zakarin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eric is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Eric had worked at 10 firms, which includes LOMBARD ADVISERS INCORPORATED, LOMBARD SECURITIES INCORPORATED, INDEPENDENT FINANCIAL GROUP LLC, WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 14, 2017 - October 10, 2018

LOMBARD ADVISERS INCORPORATED

RIA

CRD#: 108231

Westfield, NJ

Past

May 12, 2017 - October 10, 2018

LOMBARD SECURITIES INCORPORATED

CRD#: 27954

Cranford, NJ

Past

May 13, 2015 - March 30, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BASKING RIDGE, NJ

Past

May 13, 2015 - March 30, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

BASKING RIDGE, NJ

Past

July 12, 2013 - May 1, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WESTFIELD, NJ

Past

July 12, 2013 - May 1, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WESTFIELD, NJ

Past

June 1, 2009 - August 6, 2013

MORGAN STANLEY

RIA

CRD#: 149777

SHORT HILLS, NJ

Past

June 1, 2009 - August 6, 2013

MORGAN STANLEY

CRD#: 149777

SHORT HILLS, NJ

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SHORT HILLS, NJ

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SHORT HILLS, NJ

Past

September 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SHORT HILLS, NJ

Past

September 8, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SHORT HILLS, NJ

Past

June 13, 2002 - September 20, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WESTFIELD, NJ

Past

August 9, 1996 - September 20, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WESTFIELD, NJ

Past

July 31, 1993 - August 8, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 21, 1987 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

LOMBARD ADVISERS INCORPORATED

CRD#: 108231 / SEC#: 801-114981

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Colorado

Registered Investment Advisory firm - (12/31/2009 Terminated)

Delaware

Registered Investment Advisory firm - (5/1/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (4/30/2019 Terminated)

Maryland

Registered Investment Advisory firm - (5/10/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Michigan

Registered Investment Advisory firm - (11/27/2001 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2004 Terminated)

New Jersey

Registered Investment Advisory firm - (4/30/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (5/1/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/29/2019 Terminated)

South Dakota

Registered Investment Advisory firm - (1/28/2004 Terminated)

Texas

Registered Investment Advisory firm - (4/29/2019 Terminated)

Virginia

Registered Investment Advisory firm - (8/2/2019 Terminated)

West Virginia

Registered Investment Advisory firm - (4/29/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/24/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Current Firm

LOMBARD ADVISERS INCORPORATED

CRD#: 108231 / SEC#: 801-114981

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Colorado

Registered Investment Advisory firm - (12/31/2009 Terminated)

Delaware

Registered Investment Advisory firm - (5/1/2019 Terminated)

Louisiana

Registered Investment Advisory firm - (4/30/2019 Terminated)

Maryland

Registered Investment Advisory firm - (5/10/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Michigan

Registered Investment Advisory firm - (11/27/2001 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2004 Terminated)

New Jersey

Registered Investment Advisory firm - (4/30/2019 Terminated)

North Carolina

Registered Investment Advisory firm - (5/1/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/29/2019 Terminated)

South Dakota

Registered Investment Advisory firm - (1/28/2004 Terminated)

Texas

Registered Investment Advisory firm - (4/29/2019 Terminated)

Virginia

Registered Investment Advisory firm - (8/2/2019 Terminated)

West Virginia

Registered Investment Advisory firm - (4/29/2019 Terminated)

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Contact information

Main Address

1820 Lancaster St, Baltimore, MD 21231

Mailing Address

Phone number

(410) 342-1300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LOMBARD ADVISERS INCORPORATED WRAP FEE PROGRAM BROCHURE (3/27/2025)

LOMBARD ADVISERS INCORPORATED FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,377
AUM (Assets Under Management)	$ 567,437,959

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.

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Advisor Monitoring

Firm Stability Insights

Eric A. Zakarin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOMBARD SECURITIES INCORPORATED

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

LOMBARD ADVISERS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/1992

Series 63

Date: 7/29/1987

SIE

Date: 10/1/2018

Series 3

Date: 8/24/1987

Series 7

Date: 7/18/1987

Current Firm

LOMBARD ADVISERS INCORPORATED

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LOMBARD ADVISERS INCORPORATED

TRUST BUT VERIFY

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