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FIRM PROFILE
Overview
LOMBARD SECURITIES INCORPORATED is located at 1820 Lancaster Street Second Floor, Baltimore, MD 21231 and was first established at Philadelphia, Maryland in 07/25/1990. After operating for 35 years, LOMBARD SECURITIES INCORPORATED has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of LOMBARD SECURITIES INCORPORATED’s clients are individuals and 0% of their clients are high net worth individuals. LOMBARD SECURITIES INCORPORATED has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at LOMBARD SECURITIES INCORPORATED are registered to handle securities or provide financial advice. The firm has 10 disclosures, 4 being regulatory events, 4 being client events, and 2 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access LOMBARD SECURITIES INCORPORATED‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at LOMBARD SECURITIES INCORPORATED. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for LOMBARD SECURITIES INCORPORATED Comes From
Understanding the Statistics for LOMBARD SECURITIES INCORPORATED and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1820 Lancaster Street Second Floor, Baltimore, MD 21231
1820 Lancaster Street, Baltimore, MD 21231
Small
(410) 342-1300
Maryland since 07/25/1990
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at LOMBARD SECURITIES INCORPORATED
Raymond Ballard Harrison III
Don Andrew Price JR
David Frederick Guensch
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