Luanne C. Lembo
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.
Luanne Christine Lembo, who also goes by Chris Lembo, Chrissy Lembo, Luanne Mondelli, was a registered financial professional .
Luanne is a previously registered financial professional and started their career in finance in 1994. Luanne had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1997 - May 22, 1997
REPUBLIC FINANCIAL SERVICES CORPORATION
August 30, 1995 - August 8, 1996
CHARLES SCHWAB & CO., INC.
December 1, 1994 - December 31, 1995
WMA SECURITIES, INC.
August 1, 1994 - October 28, 1994
IFMG SECURITIES, INC.
April 13, 1994 - May 26, 1994
CHATFIELD DEAN & CO., 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
REPUBLIC FINANCIAL SERVICES CORPORATION
CRD#: 38293 / SEC#: , 8-48175
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC BANK USA | 100% SHAREHOLDER & PARENT OF APPLICANT | |
| ALMQUIST, KARIN MARIE | CFO | 2390099 |
| PIRRAGLIA, JOHN DOMINICK | DIRECTOR | 707041 |
| ROSENBLUM, WILLIAM FRANKLIN | SECRETARY AND CHIEF LEGAL OFFICER | 2207052 |
| ROZZI, MATTHEW JAMES | CHIEF OPERATION OFFICER | 2162866 |
| SHIPLEY, CATHERINE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 1291229 |
Disclosures
| Regulatory Event | 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.
