Louis M. Lombardi
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.
Louis Michael Lombardi was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1992. Louis had worked at 10 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2011 - April 18, 2013
ROCKWELL GLOBAL CAPITAL LLC
May 18, 2009 - November 3, 2011
GARDEN STATE SECURITIES, INC.
April 19, 2006 - May 19, 2009
VFINANCE INVESTMENTS, INC
April 12, 2004 - April 11, 2006
GUNNALLEN FINANCIAL, INC
September 19, 2002 - March 30, 2004
JOSEPH STEVENS & CO., INC.
September 8, 2000 - September 30, 2002
MANTIS SECURITIES, INC.
September 14, 1999 - August 2, 2000
NORTHRIDGE CAPITAL CORPORATION
December 3, 1997 - September 9, 1999
G.F.B. SECURITIES, INC.
June 20, 1996 - November 13, 1997
R.D. WHITE & CO., INC.
April 24, 1992 - May 2, 1996
A.S. GOLDMEN & CO., INC.
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
Series 62
Date: 4/22/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
