Steven A. Kochel
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.
Steven Alan Kochel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1974. Steven had worked at 7 firms and has passed the Series 63, SIE, Series 1, Series 12, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2008 - November 15, 2017
LOMBARD SECURITIES INCORPORATED
February 21, 2006 - June 13, 2008
CITIGROUP GLOBAL MARKETS INC.
December 4, 2000 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 28, 1988 - December 4, 2000
JOHNSTON, LEMON & CO. INCORPORATED
April 28, 1986 - October 24, 1988
BAKER, WATTS & CO., INC.
May 3, 1982 - May 5, 1986
KUHNS BROTHERS & LAIDLAW, INC.
February 13, 1974 - September 10, 1982
LAIDLAW, MARTIN & MOYSEY, 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 1
Date: 2/5/1974
Registered Representative ExaminationSeries 12
Date: 11/23/1982
NYSE Branch Manager ExaminationF04
Date: 6/28/1977
Financial Principal ExaminationSeries 40
Date: 10/19/1976
Registered Principal ExaminationCurrent Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
