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EO

Edward A. Orgeron

Some features on this profile are disabled
CRD#: 2391057
EO

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.

Edward Augustin Orgeron, who also goes by Ed Orgeron, Edward A Orgeron, was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1993. Edward had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ed Orgeron | Edward A Orgeron

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

August 21, 2020 - March 24, 2021

LOMBARD ADVISERS INCORPORATED

RIA
CRD#: 108231
Jennings, LA
Past

August 21, 2020 - January 13, 2021

LOMBARD SECURITIES INCORPORATED

BD
CRD#: 27954
JENNINGS, LA
Past

September 28, 2017 - August 21, 2020

BFC PLANNING, INC.

RIA
CRD#: 119682
Jennings, LA
Past

September 22, 2017 - August 21, 2020

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
Jennings, LA
Past

August 3, 2017 - September 22, 2017

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
Jennings, LA
Past

August 1, 2017 - September 22, 2017

KOVACK SECURITIES INC.

BD
CRD#: 44848
Jennings, LA
Past

October 10, 2005 - August 1, 2017

WFG ADVISORS, LP

RIA
CRD#: 125073
JENNINGS, LA
Past

October 6, 2005 - August 1, 2017

WFG INVESTMENTS, INC.

BD
CRD#: 22704
JENNINGS, LA
Past

March 16, 2004 - September 19, 2005

CULLEN INVESTMENT GROUP, LTD.

RIA
CRD#: 18266
CROWLEY, LA
Past

March 1, 2004 - September 19, 2005

CULLEN INVESTMENT GROUP, LTD.

BD
CRD#: 18266
LAFAYETTE, LA
Past

June 5, 1996 - March 11, 2004

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

July 25, 1995 - March 12, 1996

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

November 24, 1993 - May 22, 1995

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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".
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT

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)

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1993
General Securities Representative Examination

Current Firm

LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT

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)
PREMIUM
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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
42

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,377
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.

Company Information

LOMBARD ADVISERS INCORPORATED

CRD#: 108231

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