Douglas J. Lomma

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CRD#: 2426460

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.

Douglas Joseph Lomma, who also goes by Douglas Lomma, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Douglas Lomma

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

October 20, 2014 - January 13, 2015

IAA FINANCIAL LLC

CRD#: 6578

MELVILLE, NY

Past

August 25, 2014 - October 17, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

August 1, 2014 - August 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

January 3, 2013 - February 21, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

December 5, 2011 - June 1, 2012

WORLD-XECUTION STRATEGIES

CRD#: 134645

NEW YORK, NY

Past

October 15, 2010 - November 28, 2011

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

Past

August 9, 2010 - September 2, 2010

FUSION ANALYTICS SECURITIES LLC

CRD#: 124245

CORAL SPRINGS, FL

Past

January 1, 2009 - June 24, 2010

FUSION ANALYTICS SECURITIES LLC

CRD#: 124245

CORAL SPRINGS, FL

Past

May 10, 2006 - July 30, 2007

FUSION ANALYTICS SECURITIES LLC

CRD#: 124245

NEW YORK, NY

Past

June 28, 2001 - January 25, 2006

REDWOOD BROKERAGE LLC

CRD#: 39416

NEW YORK, NY

Past

November 19, 1997 - September 3, 1999

PARKER FINANCIAL CORP.

CRD#: 42140

VALLEY COTTAGE, NY

Past

April 8, 1994 - June 18, 1997

H G I

CRD#: 14079

JERICHO, NY

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

Series 63

Date: 9/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/13/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/24/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/17/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 4/6/1994

Financial and Operations Principal Examination

Current Firm

IAA FINANCIAL LLC

CBG FINANCIAL GROUP, INC. | IAA FINANCIAL LLC | CHEEVERS, HAND & ANGELINE, INC.

CRD#: 6578 / SEC#: , 8-18463

Terminated by SEC on 02/09/2015

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 10/21/2013

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT LLC	PARENT COMPANY
CARRENO, KEVIN ANDREW	SECRETARY	2047444
CUFF, SHERI MINGUS	CHIEF OPERATING OFFICER, FIN-OP	1477228
LOTVIN, NANCI BETH	CCO/AML	2320121
WEINBERGER, DAVID S	PRESIDENT	2676116

Disclosures

Regulatory Event

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

Douglas J. Lomma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WTS PROPRIETARY TRADING GROUP LLC

WTS PROPRIETARY TRADING GROUP LLC

EQUITABLE ADVISORS, LLC

WORLD-XECUTION STRATEGIES

EKN FINANCIAL SERVICES INC.

FUSION ANALYTICS SECURITIES LLC

FUSION ANALYTICS SECURITIES LLC

FUSION ANALYTICS SECURITIES LLC

REDWOOD BROKERAGE LLC

PARKER FINANCIAL CORP.

H G I

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/1995

SIE

Date: 1/13/2015

Series 87

Date: 3/24/2005

Series 7

Date: 8/17/1995

Series 24

Date: 12/1/1995

Series 27

Date: 4/6/1994

Current Firm

IAA FINANCIAL LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IAA FINANCIAL LLC

TRUST BUT VERIFY

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