James V. Lombardo

ATCAP PARTNERS

New Yok, NY 10004

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CRD#: 2423097

Professional summary

James Vincenzo Lombardo II, who also goes by James VIncenzo Lomardo II, is a registered financial advisor currently at ATCAP PARTNERS, LLC located in New Yok, New York and CEROS FINANCIAL SERVICES, INC. located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Vincenzo Lomardo Ii

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.

2712 Riverside Dr Inc,Is Not Investment Related,"2712 RIVERSIDE DR, , Wantagh, NY, 11793, United States",realestate,CEO,11/4/2011,5 hours per month,0 hours per month during trading hours,No Compensation Compensation,Own Real estate

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Vincenzo Lombardo II'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

July 28, 2022 - Present

ATCAP PARTNERS, LLC

Office #1: 80 Broad Street 29th Floor, New Yok, NY, 10004

RIA

CRD#: 158214

New Yok, NY

Current

July 20, 2022 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 80 Broad Street 29th Floor, New York, NY 10004

CRD#: 37869

New York, NY

Past

March 12, 2018 - July 21, 2022

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEW YORK, NY

Past

February 27, 2018 - July 21, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

November 17, 2015 - March 6, 2018

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

NEW YORK, NY

Past

March 23, 2010 - March 6, 2018

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

June 5, 2007 - March 29, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

NEW YORK, NY

Past

August 28, 1998 - June 26, 2007

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

March 1, 1994 - September 30, 1998

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, 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".

ATCAP PARTNERS, LLC

ATCAP PARTNERS, LLC | KENSINGTON ANALYTICS | FORTE CAPITAL GROUP | CRITICAL MATH

CRD#: 158214 / SEC#: 801-72617

RIA

Registered Investment Advisory firm - (7/25/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(8/10/2022)

Arizona
(7/20/2022)

IAR

Arizona
(10/20/2022)

California
(7/20/2022)

Colorado
(7/20/2022)

Connecticut
(7/22/2022)

District of Columbia
(7/20/2022)

Florida
(7/20/2022)

Georgia
(8/17/2022)

Illinois
(8/18/2022)

Indiana
(8/8/2022)

Kansas
(4/2/2024)

Kentucky
(7/20/2022)

Maryland
(7/20/2022)

Massachusetts
(7/22/2022)

Michigan
(7/20/2022)

Minnesota
(8/9/2022)

Nevada
(1/27/2025)

New Hampshire
(7/20/2022)

New Jersey
(7/20/2022)

New Mexico
(11/3/2023)

New York
(7/20/2022)

IAR

New York
(7/28/2022)

North Carolina
(7/22/2022)

Oklahoma
(7/20/2022)

Oregon
(7/22/2022)

Pennsylvania
(7/20/2022)

South Carolina
(7/20/2022)

Texas
(7/20/2022)

Utah
(7/21/2022)

Virginia
(7/20/2022)

Washington
(8/8/2022)

West Virginia
(7/20/2022)

Wisconsin
(7/20/2022)

Wyoming
(7/20/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/13/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/28/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/1998

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ATCAP PARTNERS, LLC

ATCAP PARTNERS, LLC | KENSINGTON ANALYTICS | FORTE CAPITAL GROUP | CRITICAL MATH

CRD#: 158214 / SEC#: 801-72617

RIA

Registered Investment Advisory firm - (7/25/2011 Approved)

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Contact information

Main Address

1445 Research Boulevard #530, Rockville, MD 20850

Mailing Address

Phone number

(866) 842-3356

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ATCAP PARTNERS- JULY 2022 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	220
AUM (Assets Under Management)	$ 62,948,000

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.

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Advisor Monitoring

Firm Stability Insights

James V. Lombardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Vincenzo Lombardo II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CEROS FINANCIAL SERVICES, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

GUNNALLEN FINANCIAL, INC

JOSEPH GUNNAR & CO. LLC

FIRST ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

ATCAP PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2015

Series 63

Date: 3/23/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/28/1994

Series 24

Date: 4/20/1998

FINRA

Nasdaq Stock Market

Current Firm

ATCAP PARTNERS, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ATCAP PARTNERS, LLC

TRUST BUT VERIFY

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