Anthony V. Lombardi
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.
Anthony Vincent Lombardi, who also goes by Tony Lombardi, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1994. Anthony had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 55, Series 24, Series 10, Series 9 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2025 - December 3, 2025
GLOBACAP PRIVATE MARKETS INC.
January 23, 2019 - March 1, 2024
PROFOR ADVISORS
July 14, 2015 - November 30, 2018
AON SECURITIES LLC
February 8, 2008 - August 7, 2008
MAN INVESTMENTS INC.
October 31, 2005 - December 21, 2007
MF GLOBAL INC.
June 11, 2001 - April 7, 2004
J.P. MORGAN CLEARING CORP.
June 11, 2001 - April 7, 2004
J.P. MORGAN SECURITIES LLC
May 15, 2000 - March 29, 2001
HOWE BARNES HOEFER & ARNETT, INC.
April 3, 1997 - May 1, 2000
REGAL SECURITIES, INC.
November 22, 1995 - May 20, 1996
REGAL SECURITIES, INC.
February 15, 1995 - November 28, 1995
JACK WHITE & COMPANY, INC.
July 21, 1994 - August 22, 1994
A. T. BROD & CO. INC.
June 23, 1994 - July 22, 1994
CHATFIELD DEAN & CO., INC.
June 2, 1994 - June 28, 1994
J. GREGORY & COMPANY, 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
Series 55
Date: 1/24/2001
Limited Representative-Equity Trader ExamCurrent Firm
GLOBACAP PRIVATE MARKETS INC.
CRD#: 328777 / SEC#: , 8-71181
Contact information
FINRA licenses (39 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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