Thomas R. Lopardo
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.
Thomas Richard Lopardo, who also goes by Tom Lopardo, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, PC, Series 5, Series 3, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2010 - December 14, 2021
WESTMINSTER FINANCIAL ADVISORY CORP
September 22, 2010 - December 14, 2021
WESTMINSTER FINANCIAL SECURITIES, INC.
September 11, 2009 - October 4, 2010
NEW ENGLAND SECURITIES
September 9, 2009 - October 4, 2010
NEW ENGLAND SECURITIES
January 1, 2005 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
April 4, 2002 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
June 6, 2001 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
June 10, 1998 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
September 23, 1997 - June 2, 1998
COMMONWEALTH FINANCIAL NETWORK
September 14, 1996 - September 25, 1997
INVEST FINANCIAL CORPORATION
July 21, 1995 - March 11, 1996
CITIGROUP GLOBAL MARKETS INC.
May 13, 1982 - May 10, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
September 26, 1978 - June 3, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 1, 1977 - August 11, 1977
THOMSON MCKINNON SECURITIES INC.
October 8, 1974 - May 17, 1975
WADDELL & REED
Primary Firm SEC Registration
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
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 99TO
Date: 1/2/2023
Operations Professional ExaminationPC
Date: 8/2/1995
AMEX Put and Call ExamSeries 5
Date: 5/12/1983
Interest Rate Options ExaminationSeries 1
Date: 9/30/1974
Registered Representative ExaminationCurrent Firm
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
