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Ryan K. Farstveet

LOMBARD SECURITIES
BISMARCK, ND
Some features on this profile are disabled
CRD#: 2909712
RF

Professional summary

Ryan Keith Farstveet is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Bismarck, North Dakota.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 1997. Ryan has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Ryan Keith Farstveet'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

December 17, 2007 - Present

LOMBARD SECURITIES INCORPORATED

BD
CRD#: 27954
BISMARCK, ND
Past

October 31, 2005 - November 19, 2007

OSAIC SERVICES, INC.

RIA
CRD#: 133763
BISMARCK, ND
Past

October 31, 2005 - November 19, 2007

OSAIC SERVICES, INC.

BD
CRD#: 133763
BISMARCK, ND
Past

October 31, 2001 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA
CRD#: 20068
BISMARCK, ND
Past

October 10, 2001 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

July 23, 1997 - October 24, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 23, 1997 - October 24, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/4/2020)
RR
North Dakota
(12/17/2007)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/30/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/30/1997
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: 7/22/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LOMBARD SECURITIES INCORPORATED
LOMBARD SECURITIES INCORPORATED

CRD#: 27954 / SEC#: , 8-43340

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

Main Address
1820 Lancaster Street Second Floor, Baltimore, MD 21231
Mailing Address
1820 Lancaster Street, Baltimore, MD 21231
Phone number
(410) 342-1300
Established
Maryland since 07/25/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
REYNOLDS, EDWIN MAJOR JRDIRECTOR, SHAREHOLDER, FIRM PRINCIPAL374634
SOCHA, WILLIAM STEPHENCHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER712323
FOX, CHARLES CURTISCO-CEO, DIRECTOR, AND SHAREHOLDER1201770
JONES, RUTH PORTERDIRECTOR AND SHAREHOLDER842232
PETER, EMIL IIISHAREHOLDER
SLAGLE, BRIAN LEEDIRECTOR AND SHAREHOLDER2895570
DONLAN WELKER, TERRY LYNNCHIEF COMPLIANCE OFFICER2825889
OATES, DONALD EUGENEDIRECTOR AND SHAREHOLDER1180250
SONNIER, EDWARD DAVID IIDIRECTOR AND SHAREHOLDER2479370

Disclosures

Regulatory Event4
Arbitration2
Bond4

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

LOMBARD SECURITIES INCORPORATED

CRD#: 27954Bismarck, ND

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