Carmine Lombano
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carmine Lombano, who also goes by Carmine None Lombano, Carmine Lombano, was a registered financial professional .
Carmine is a previously registered financial professional and started their career in finance in 1997. Carmine had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2021 - February 10, 2023
EMPOWER ADVISORY GROUP, LLC
August 24, 2021 - February 10, 2023
EMPOWER FINANCIAL SERVICES, INC.
October 1, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 1, 2019 - January 11, 2021
TD AMERITRADE, INC.
October 1, 2019 - January 11, 2021
TD AMERITRADE, INC.
September 7, 2018 - October 22, 2019
PARAGON CAPITAL MANAGEMENT LLC
June 22, 2017 - August 17, 2018
QUESTAR ASSET MANAGEMENT, INC.
June 21, 2017 - August 17, 2018
QUESTAR CAPITAL CORPORATION
December 8, 2015 - June 8, 2017
WADDELL & REED
December 8, 2015 - June 8, 2017
WADDELL & REED
January 3, 2003 - December 14, 2015
CHARLES SCHWAB & CO., INC.
September 20, 1997 - December 14, 2015
CHARLES SCHWAB & CO., INC.
July 3, 1997 - September 16, 1997
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
