Craig T. Lomboy

VANGUARD MARKETING

Malvern, PA 19355

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CRD#: 2361935

Professional summary

Craig Trinidad Lomboy is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1993. Craig has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 4 and Series 24 exams.

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) - BD

Click below to view Craig Trinidad Lomboy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 24, 1998 - Present

VANGUARD MARKETING CORPORATION

Office #1: 100 Vanguard Blvd, Malvern, PA 19355

CRD#: 7452

Malvern, PA

Past

April 30, 1997 - May 27, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 17, 1993 - July 1, 1994

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

July 19, 1993 - October 21, 1993

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(8/11/2021)

Pennsylvania
(6/24/1998)

Exams

State Security Law Exam

Series 63

Date: 5/14/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/14/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/27/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VANGUARD MARKETING CORPORATION

VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION

CRD#: 7452 / SEC#: , 8-21570

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

5951 Luckett Court Suite A1, El Paso, TX 79932-1882

Phone number

(610) 669-1000

Established

Pennsylvania since 04/21/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE VANGUARD GROUP, INC.	PARENT COMPANY
BENCHENER, MATTHEW JOHN	CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE	5569805
BENDL, JOHN WESLEY	DIRECTOR, SENIOR VICE PRESIDENT	6931980
BISORDI, JOHN	DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL	7526828
BOATENG, AMMA ACHEAMPOMAA	DIRECTOR, SENIOR VICE PRESIDENT	4677078
BRANCATO, MATTHEW CLARK	DIRECTOR, VICE PRESIDENT	6220380
JAMES, JOHN MARK	DIRECTOR, SENIOR VICE PRESIDENT	5594356
PANTALONE, SALVATORE L JR	PRINCIPAL FINANCIAL OFFICER	2887373
PETTY, DAVID	VICE PRESIDENT	5684895
STEWART, MARC CHRISTOPHER	CHIEF COMPLIANCE OFFICER	2688699
TRETTER, MATTHEW ANTHONY	PRINCIPAL OPERATIONS OFFICER	5956530

Disclosures

Regulatory Event	47
Arbitration	8

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Craig T. Lomboy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Craig Trinidad Lomboy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVANTAGE CAPITAL CORPORATION

L.C. WEGARD & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/14/1997

Series 65

Date: 10/14/1996

SIE

Date: 10/1/2018

Series 7

Date: 4/29/1997

Series 4

Date: 5/27/2005

Series 24

Date: 8/9/2004

FINRA

Current Firm

VANGUARD MARKETING CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANGUARD MARKETING CORPORATION

TRUST BUT VERIFY

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