Joseph A. Lombardo

HOULIHAN LOKEY CAPITAL

Coconut Grove, FL 33133

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CRD#: 5184568

Professional summary

Joseph Anthony Lombardo, who also goes by Joseph Lombardo, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in Coconut Grove, Florida.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 5 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Lombardo

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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CRS (Client Relationship Summary) - BD

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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

June 16, 2020 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 3390 Mary Street Suite 116, Coconut Grove, FL 33133

CRD#: 17708

Coconut Grove, FL

Past

August 28, 2012 - May 23, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 1, 2009 - February 9, 2010

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 13, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

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

Florida
(11/30/2022)

Exams

State Security Law Exam

Series 63

Date: 5/30/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/4/2021

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 6/15/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 79

Date: 8/27/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 3/12/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Joseph A. Lombardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Anthony Lombardo's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2020

Series 7TO

Date: 9/4/2021

Series 79TO

Date: 6/15/2020

Series 79

Date: 8/27/2012

Series 7

Date: 3/12/2007

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

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