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DL

Denise M. Lombardi

BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 4388035
DL

Professional summary

Denise Marie Lombardi, who also goes by Denise M Lombardi, Denise Marie Lombardi, is a registered financial professional currently at BTIG, LLC located in New York, New York.

Denise is registered as a RR (Registered Representative) and started their career in finance in 2004. Denise has worked at 7 firms and has passed the Series 16 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Denise M Lombardi | Denise Marie Lombardi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Denise Marie Lombardi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 30, 2021 - Present

BTIG, LLC

Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022
BD
CRD#: 122225
New York, NY
Past

December 6, 2016 - November 24, 2021

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 20, 2016 - November 29, 2016

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

November 13, 2009 - April 6, 2016

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

November 13, 2009 - April 6, 2016

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

December 2, 2008 - October 13, 2009

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

October 28, 2004 - March 7, 2005

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/30/2021)

Exams

General Industry/Product Exam
RR
Series 16
Date: 11/20/2008
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 10/25/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONDOR TRADING LPMANAGER/MEMBER
CZEPIEL, KYLE ROBERTCHIEF OPERATING OFFICER2360785
ENDRES, BRIAN KENNETHCFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2673131
HAMILTON, AUSTINCHIEF COMPLIANCE OFFICER2592315
LEROY, ANTON MAURICECHIEF EXECUTIVE OFFICER2862204

Disclosures

Regulatory Event11
Civil Event1

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.

Company Information

BTIG, LLC

CRD#: 122225New York, NY 10022

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