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AL

Anthony V. Lombardi

GLOBACAP PRIVATE MARKETS
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2479795
AL

Professional summary

Anthony Vincent Lombardi, who also goes by Tony Lombardi, is a registered financial professional currently at GLOBACAP PRIVATE MARKETS INC. located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1994. Anthony has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony Lombardi

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) - BD

Click below to view Anthony Vincent Lombardi'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

September 11, 2025 - Present

GLOBACAP PRIVATE MARKETS INC.

Office #1: 12 E 49th St. 11th Floor, New York, NY 10017
BD
CRD#: 328777
NEW YORK, NY
Past

January 23, 2019 - March 1, 2024

PROFOR ADVISORS

BD
CRD#: 136084
RYE BROOK, NY
Past

July 14, 2015 - November 30, 2018

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL
Past

February 8, 2008 - August 7, 2008

MAN INVESTMENTS INC.

BD
CRD#: 15770
NEW YORK, NY
Past

October 31, 2005 - December 21, 2007

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

June 11, 2001 - April 7, 2004

J.P. MORGAN CLEARING CORP.

BD
CRD#: 28432
BROOKLYN, NY
Past

June 11, 2001 - April 7, 2004

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 15, 2000 - March 29, 2001

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

April 3, 1997 - May 1, 2000

REGAL SECURITIES, INC.

BD
CRD#: 7297
GLENVIEW, IL
Past

November 22, 1995 - May 20, 1996

REGAL SECURITIES, INC.

BD
CRD#: 7297
GLENVIEW, IL
Past

February 15, 1995 - November 28, 1995

JACK WHITE & COMPANY, INC.

BD
CRD#: 7645
Past

July 21, 1994 - August 22, 1994

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

June 23, 1994 - July 22, 1994

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

June 2, 1994 - June 28, 1994

J. GREGORY & COMPANY, INC.

BD
CRD#: 14892

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
RR
Series 63
Date: 6/17/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/14/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 1/24/2001
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 9/10/2015
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/21/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/29/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/26/1995
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GP
GLOBACAP PRIVATE MARKETS INC.
CBOE PRIVATE MARKETS | GLOBACAP PRIVATE MARKETS INC.

CRD#: 328777 / SEC#: , 8-71181

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
12 E 49th St. 11th Floor, New York, NY 10017
Mailing Address
12 E 49th St. 11th Floor, New York, NY 10017
Phone number
(646) 568-5284
Established
Delaware since 06/13/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GLOBACAP INC.OWNER
BEATON, DANIEL STEWARTFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4240769
GRIFFITH, ANN MARGARETCHIEF COMPLIANCE OFFICER2936554
PEDVIS, ANDREWCEO7173906

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.

Company Information

GLOBACAP PRIVATE MARKETS INC.

CRD#: 328777New York, NY 10017

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