SP
Stephen H. Prindle
LOMBARD ADVISERS
York, PA 17402
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CRD#: 6482683
SP
Professional summary
Stephen Harlowe Prindle, who also goes by Stephen Prindle, is a registered financial advisor currently at LOMBARD ADVISERS INCORPORATED located in York, Pennsylvania and LOMBARD SECURITIES INCORPORATED located in York, Pennsylvania.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Prindle
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.
(1) CORTO FINANCIAL; Since 08/01/2015; Current Address: 1938 Security Drive, York, PA, USA, 17402, Agent; Insurance Products:, Life, DI, LTC, annuities. 60 hours spent on activity per month, 40 hours spent on activity during market hours. (2) Splash Financial/CFG - Partnership - Beginning 12/2022 - Refinancing of existing medical student loans with our clients and prospective physicians - Being compensated by Splash Financial for referral to refinance loan(s) which will be marketed through our Corto Financial Group website - www.cortofinancial.com.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Harlowe Prindle's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 21, 2017 - Present
LOMBARD ADVISERS INCORPORATED
Office #1: 1938 Security Drive, York, PA 17402RIA
CRD#: 108231
York, PA
Current
April 21, 2017 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 1938 Security Drive, York, PA 17402BD
CRD#: 27954
York, PA
Past
July 8, 2016 - April 18, 2017
SB ADVISORY, LLC
RIA
CRD#: 154680
ATLANTA, GA
Past
July 8, 2016 - April 18, 2017
IFS SECURITIES
BD
CRD#: 40375
York, PA
Past
January 12, 2016 - July 1, 2016
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
York, PA
Past
June 4, 2015 - July 1, 2016
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
YORK, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Colorado(1/24/2019)
RR
Florida(1/4/2022)
RR
Maryland(4/21/2017)
RR
New Jersey(4/21/2017)
RR
Pennsylvania(4/21/2017)
IAR
Pennsylvania(4/21/2017)
RR
Texas(1/2/2019)
RR
Virginia(4/21/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LOMBARD ADVISERS INCORPORATED
ARK FINANCIAL SOLUTIONS | WHITEHOUSE FINANCIAL GROUP | WEST VIRGINIA WEALTH ADVISORS | TANGEN FINANCIAL, LLC | SLAGLE INVESTMENTS, LLC | LOMBARD ADVISERS INCORPORATED | KOCHEL WEALTH MANAGEMENT | JEFFREY D. MURRAY & CO. | JACK A. HEIL CPA | HUNDLEY & ASSOCIATES | GARY COLLIER & ASSOCIATES | FINANCIAL & TAX SERVICES, LLC | DABAREINER WEALTH MANAGEMENT | COX WEALTH ADVISORS | CORTO FINANCIAL GROUP, LLC | CORNERSTONE PORTFOLIOS, LLC | BYRD WEALTH MANAGEMENT
CRD#: 108231 / SEC#: 801-114981
RIA
Registered Investment Advisory firm - (4/12/2019 Approved)Colorado
Registered Investment Advisory firm - (12/31/2009 Terminated)Delaware
Registered Investment Advisory firm - (5/1/2019 Terminated)Louisiana
Registered Investment Advisory firm - (4/30/2019 Terminated)Maryland
Registered Investment Advisory firm - (5/10/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2001 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2004 Terminated)New Jersey
Registered Investment Advisory firm - (4/30/2019 Terminated)North Carolina
Registered Investment Advisory firm - (5/1/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/29/2019 Terminated)South Dakota
Registered Investment Advisory firm - (1/28/2004 Terminated)Texas
Registered Investment Advisory firm - (4/29/2019 Terminated)Virginia
Registered Investment Advisory firm - (8/2/2019 Terminated)West Virginia
Registered Investment Advisory firm - (4/29/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1820 Lancaster St, Baltimore, MD 21231
Mailing Address
Phone number
(410) 342-1300
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,377 |
| AUM (Assets Under Management) | $ 567,437,959 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LOMBARD ADVISERS INCORPORATED
CRD#: 108231York, PA 17402TRUST BUT VERIFY
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