FC
Frank D. Corto
LOMBARD ADVISERS
Tampa, FL 33611
Some features on this profile are disabled
CRD#: 2537861
FC
Professional summary
Frank Dominic Corto, who also goes by Frank D Corto, Frank Dominick Corto, is a registered financial advisor currently at LOMBARD ADVISERS INCORPORATED located in Tampa, Florida.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Frank has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank D Corto | Frank Dominick Corto
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.
(1)Corto Financial Group; since 06/01/2011; Current Address: 1938 Security Drive, York, PA, USA, 17402 ; Managing Partner; Work with physicians and sell disability and life insurance products. 80 to 100 hours spent on this activity per month. (2) Splash Financial/CFG - Partnership - Beginning 12/2022 - Refinancing of existing medical student loans with our clients and prospective physicians - Being compensated by Splash Financial for referral to refinance loan(s) which will be marketed through our Corto Financial Group website - www.cortofinancial.com. (3) TEAM Lacrosse - Owner/Financial Interest - Central Pennsylvania Lacrosse Club.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Dominic Corto's 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®
NoneExperience
Current
April 5, 2017 - Present
LOMBARD ADVISERS INCORPORATED
Office #1: 4923 West Shore Blvd., Tampa, FL 33611Office #2: 1938 Security Drive, York, PA 17402RIA
CRD#: 108231
Tampa, FL
Past
July 1, 2016 - April 7, 2017
SB ADVISORY, LLC
RIA
CRD#: 154680
York, PA
Past
June 16, 2011 - July 1, 2016
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
YORK, PA
Past
June 10, 2011 - July 1, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
YORK, PA
Past
November 13, 2006 - April 15, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HUNT VALLEY, MD
Past
December 18, 2002 - April 15, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HUNT VALLEY, MD
Past
April 29, 2002 - November 26, 2002
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
May 4, 2001 - May 15, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
August 19, 1998 - May 23, 2001
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
October 24, 1997 - April 16, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 23, 1994 - May 2, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(9/26/2023)
IAR
Pennsylvania(4/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1820 Lancaster St, Baltimore, MD 21231
Mailing Address
Phone number
(410) 342-1300
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,377 |
| AUM (Assets Under Management) | $ 567,437,959 |
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.
