Nicholas S. 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.
Nicholas Steven Lombardo was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2004. Nicholas had worked at 2 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2024 - November 7, 2024
BLUE ROCK FINANCIAL GROUP
May 18, 2004 - February 20, 2007
SAL EQUITY TRADING, GP
Primary Firm SEC Registration
BLUE ROCK FINANCIAL GROUP
CRD#: 298558 / SEC#: 801-117998
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 55
Date: 6/3/2004
Limited Representative-Equity Trader ExamCurrent Firm
BLUE ROCK FINANCIAL GROUP
CRD#: 298558 / SEC#: 801-117998
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 838 |
| AUM (Assets Under Management) | $ 335,047,553 |
Red Flags
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