John A. Lombardo
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.
John Anthony Lombardo was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2008 - June 19, 2015
TFS DERIVATIVES LLC
August 10, 2007 - August 5, 2008
CANACCORD GENUITY SECURITIES LLC
November 15, 2006 - August 10, 2007
COLLINS STEWART INC.
July 7, 2006 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
August 4, 2005 - March 9, 2006
KELLOGG CAPITAL GROUP LLC
August 24, 2004 - January 19, 2005
FOGEL GROUP LLC
September 26, 2003 - August 25, 2004
BEAR WAGNER SPECIALISTS LLC
October 19, 1999 - February 16, 2000
AMERIPRISE ADVISOR SERVICES, 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
TFS DERIVATIVES LLC
CRD#: 30395 / SEC#: , 8-44903
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | OWNER | |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | |
| MEHAN, JEFFREY LELAND | PRESIDENT | 1053445 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER | 3154976 |
| RICCIARDI, JUDITH ANN | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER & COO | |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 2 |
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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