James Frank Coll Jr
Professional Summary
James Frank Coll JR, who also goes by James Francis Coll Jr, is a registered financial advisor currently at LOMBARD SECURITIES INCORPORATED located in Silver Spring, Maryland. James is registered as a RR (Registered Representative) and started their career in finance in 1972. James has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Francis Coll Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
LOMBARD SECURITIES INCORPORATED
Contact Information
Main Address
1820 Lancaster Street Second Floor, Baltimore, MD 21231Mailing Address
1820 Lancaster Street, Baltimore, MD 21231Phone Number
(410) 342-1300Established
Maryland since 07/25/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | — |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
Regulatory Event
4Arbitration
2Bond
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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.
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State Registrations and Notice Filings
(2/25/2005)
(3/6/2002)
(12/21/2001)
(1/22/2002)
(2/11/2005)
(1/8/2008)
(4/10/2025)
(1/6/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Apr 1972SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Frank Coll JR's CRS (Customer Relationship Summary).
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