William S. Socha
Professional summary
William Stephen Socha, who also goes by Bill Socha, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Baltimore, Maryland.
William is registered as a RR (Registered Representative) and started their career in finance in 1980. William has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 5, Series 7, Series 9, Series 10, Series 4, Series 53, Series 24, Series 27 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Stephen Socha's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 1997 - Present
LOMBARD SECURITIES INCORPORATED
Office #1: 1820 Lancaster St., Baltimore, MD 21231February 3, 2001 - January 4, 2023
LOMBARD ADVISERS INCORPORATED
September 25, 1991 - March 24, 1997
ALEX. BROWN & SONS INCORPORATED
October 28, 1988 - October 5, 1989
JOHNSTON, LEMON & CO. INCORPORATED
June 11, 1981 - March 9, 1982
HERETH, ORR & JONES, INC.
July 22, 1980 - October 24, 1988
BAKER, WATTS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2023)
(1/12/2023)
(10/2/2000)
(1/21/2016)
(1/12/2023)
(1/12/2023)
(10/3/2000)
(8/27/2002)
(1/12/2023)
(3/3/1997)
(1/30/2018)
(1/12/2023)
(1/12/2023)
(8/14/2020)
(2/3/2020)
(5/16/2006)
(11/13/2000)
(6/12/2017)
(11/7/2000)
(2/1/2024)
(1/12/2023)
(11/13/2000)
(1/12/2023)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 8
Date: 3/27/1985
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 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 | 4 |
| Arbitration | 2 |
| Bond | 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.
