Susan P. 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.
Susan Patricia Lombardo, who also goes by Susan P. Mcginn, Susan Patricia Mcginn, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2000. Susan had worked at 7 firms and has passed the Series 66, SIE, Series 7 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
July 13, 2010 - May 16, 2024
JPMORGAN DISTRIBUTION SERVICES, INC.
October 1, 2008 - July 14, 2010
J.P. MORGAN SECURITIES LLC
March 16, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 11, 2004 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
October 15, 2002 - September 10, 2004
LINCOLN INVESTMENT
July 30, 2001 - March 11, 2002
UBS FINANCIAL SERVICES INC.
September 21, 2000 - April 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
JPMORGAN DISTRIBUTION SERVICES, INC.
CRD#: 104234 / SEC#: , 8-52700
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| BARTA, WENDY KAY | PRESIDENT AND DIRECTOR | 2855534 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER AND DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
Disclosures
| Regulatory Event | 1 |
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.
