Michael Lombardozzi
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.
Michael Lombardozzi was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1967. Michael had worked at 5 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2013 - August 16, 2017
TLG ADVISORS, INC.
June 12, 2013 - August 16, 2017
THE LEADERS GROUP, INC.
September 1, 2006 - May 9, 2013
MML INVESTORS SERVICES, LLC
June 1, 1998 - August 30, 2006
OSAIC FA, INC.
October 16, 1967 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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: 9/25/1967
Registered Representative ExaminationCurrent Firm
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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