Michael M. 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.
Michael Maurice Lombardo, who also goes by Michael Lombardo Lombardo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 1 firm and has passed the Series 63, SIE 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
April 18, 2014 - November 5, 2015
DPEC CAPITAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DPEC CAPITAL, INC.
CRD#: 103737 / SEC#: , 8-52230
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
