Thomas E. Stamborski

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CRD#: 838908

Professional summary

Thomas Edward Stamborski was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Thomas had worked at 10 firms, which includes LASALLE ST. INVESTMENT ADVISORS L.L.C., LASALLE ST SECURITIES L.L.C., GREAT LAKES ADVISORS LLC, FOCUSED INVESTMENTS L.L.C., WINTRUST INVESTMENTS LLC, RODMAN & RENSHAW INC., WHYTECLIFFE SECURITIES INC., BROOK INVESTMENTS INC., PARLIAMENT SECURITIES CORP., FRANCIS MANZO & COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 27, 2005 - December 31, 2008

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

PALATINE, IL

Past

September 1, 2005 - December 31, 2015

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

PALATINE, IL

Past

December 3, 2001 - August 26, 2005

GREAT LAKES ADVISORS, LLC

RIA

CRD#: 110757

CHICAGO , IL

Past

April 2, 1998 - August 22, 2005

FOCUSED INVESTMENTS L.L.C.

CRD#: 37532

CHICAGO, IL

Past

March 11, 1998 - July 31, 2000

WINTRUST INVESTMENTS LLC

CRD#: 875

CHICAGO, IL

Past

July 31, 1992 - February 27, 1998

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

October 29, 1987 - July 22, 1992

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

August 21, 1986 - November 20, 1987

WHYTECLIFFE SECURITIES INC.

CRD#: 17880

Past

September 16, 1985 - December 18, 1986

BROOK INVESTMENTS, INC.

CRD#: 7876

Past

March 5, 1984 - December 24, 1985

PARLIAMENT SECURITIES CORP.

CRD#: 14263

Past

February 24, 1984 - June 20, 1985

FRANCIS MANZO & COMPANY, INCORPORATED

CRD#: 8187

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".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/13/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/1986

General Securities Principal Examination

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas E. Stamborski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

GREAT LAKES ADVISORS, LLC

FOCUSED INVESTMENTS L.L.C.

WINTRUST INVESTMENTS LLC

LASALLE ST SECURITIES, L.L.C.

RODMAN & RENSHAW INC.

WHYTECLIFFE SECURITIES INC.

BROOK INVESTMENTS, INC.

PARLIAMENT SECURITIES CORP.

FRANCIS MANZO & COMPANY, INCORPORATED

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/1999

Series 63

Date: 4/8/1985

SIE

Date: 12/31/2015

Series 7

Date: 2/18/1984

Series 1

Date: 6/13/1977

Series 24

Date: 1/24/1986

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

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