Ralph M. Lombardi
Professional summary
Ralph Michael Lombardi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Ralph had worked at 2 firms, which includes L.O. THOMAS & CO. INC., G.F.B. SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 1998 - June 17, 2002
L.O. THOMAS & CO. INC.
October 21, 1997 - March 26, 1998
G.F.B. SECURITIES, 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
Current Firm
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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