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RL

Regina M. Lombardi

Some features on this profile are disabled
CRD#: 4741696
RL

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.

Regina M Lombardi, who also goes by Regina Marie Kelly, Regina Marie Lombardi, was a registered financial professional .

Regina is a previously registered financial professional and started their career in finance in 2004. Regina had worked at 3 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Regina Marie Kelly | Regina 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 29, 2016 - January 20, 2023

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

BD
CRD#: 282732
New York, NY
Past

March 3, 2009 - November 30, 2016

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY
Past

January 9, 2009 - December 31, 2018

BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT

RIA
CRD#: 111231
NEW YORK, NY
Past

March 18, 2004 - January 12, 2009

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY
Past

March 11, 2004 - March 15, 2004

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/9/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2004
General Securities Representative Examination

Current Firm

BB
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732 / SEC#: , 8-69731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 Broadway, New York, NY 10005-1108
Mailing Address
140 Broadway, New York, NY 10005-1108
Phone number
(212) 483-1818
Established
Delaware since 11/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
BROWN BROTHERS HARRIMAN & CO.SOLE MEMBER
GREIFENKAMP, DANIEL JOSEPHCEO, CHAIRMAN OF THE BOARD2180478
HUTSON, JOSHUA EYARECCO2912952
KRUCZEK, ROBERT PATRICKDIRECTOR2389311
MESKIN, JEFFREY BRYANDIRECTOR2855280
PUSTORINO, PAUL JAMESPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER5059093
SCHOENFELD, JEFFREY ALANDIRECTOR2490214

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

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732

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