Leonard V. Lombardo
Professional summary
Leonard Vincent Lombardo was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leonard is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Leonard had worked at 4 firms, which includes WILLIAM SCOTT & CO. L.L.C., A.S. GOLDMEN & CO. INC., J.W. BARCLAY & CO. INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 1996 - April 15, 1997
WILLIAM SCOTT & CO. L.L.C.
May 16, 1995 - January 4, 1996
A.S. GOLDMEN & CO., INC.
March 23, 1995 - April 4, 1995
J.W. BARCLAY & CO., INC.
July 27, 1994 - October 13, 1994
STRATTON OAKMONT INC.
April 27, 1994 - June 25, 1994
STRATTON OAKMONT 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
Current Firm
WILLIAM SCOTT & CO. L.L.C.
CRD#: 14979 / SEC#: , 8-32265
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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.
