JL
Joseph F. Lombardi
ROBERT W. BAIRD & CO.
Chicago, IL 60606
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CRD#: 2248019
JL
Professional summary
Joseph Frederick Lombardi, who also goes by J F Lombardi, Joe Lombardi, Joseph Fredrick Lombardi, is a registered financial professional currently at ROBERT W. BAIRD & CO. INCORPORATED located in Chicago, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
J F Lombardi | Joe Lombardi | Joseph Fredrick Lombardi
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Frederick Lombardi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 4, 2016 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 227 West Monroe Street, Chicago, IL 60606RIA
BD
CRD#: 8158
Chicago, IL
Past
February 2, 2016 - October 11, 2016
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CHICAGO, IL
Past
October 16, 2012 - September 1, 2015
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
CHICAGO, IL
Past
January 30, 2007 - October 11, 2012
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
CHICAGO, IL
Past
March 25, 2005 - October 11, 2012
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
CHICAGO, IL
Past
October 24, 2002 - December 16, 2004
SAGE ADVISORY SERVICES LTD CO
RIA
CRD#: 106236
AUSTIN, TX
Past
February 7, 1996 - August 1, 2001
HUNTINGTON SECURITIES, INC.
BD
CRD#: 2261
COLUMBUS, OH
Past
February 3, 1995 - January 24, 1996
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
July 15, 1992 - February 14, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/4/2016)
RR
Arizona(10/4/2016)
RR
Arkansas(10/4/2016)
RR
California(10/4/2016)
RR
Colorado(10/4/2016)
RR
Connecticut(10/4/2016)
RR
Florida(10/4/2016)
RR
Georgia(10/4/2016)
RR
Hawaii(10/31/2016)
RR
Illinois(10/4/2016)
RR
Indiana(10/4/2016)
RR
Iowa(10/4/2016)
RR
Kansas(10/4/2016)
RR
Kentucky(10/4/2016)
RR
Maryland(10/31/2016)
RR
Massachusetts(10/4/2016)
RR
Michigan(10/4/2016)
RR
Minnesota(10/4/2016)
RR
Mississippi(11/8/2022)
RR
Missouri(10/4/2016)
RR
Nebraska(11/8/2022)
RR
Nevada(10/4/2016)
RR
New Jersey(10/31/2016)
RR
New Mexico(10/31/2016)
RR
New York(10/4/2016)
RR
North Carolina(10/4/2016)
RR
Ohio(10/4/2016)
RR
Oregon(10/4/2016)
RR
Pennsylvania(10/4/2016)
RR
South Carolina(10/4/2016)
RR
Texas(10/4/2016)
RR
Utah(10/4/2016)
RR
Vermont(11/8/2022)
RR
Virginia(10/4/2016)
RR
Washington(10/4/2016)
RR
Wisconsin(10/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
