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Current Employers
Lombard Advisers Incorporated

1820 Lancaster St, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-06-11
  • PA RA
    APPROVED
    Since 2019-06-11

Branch Locations

1820 Lancaster St, Baltimore, MD 21231 • United States

1938 Security Drive, York, PA 17402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Delaware University Soylestown PA 07/2014 06/2018
Unemployed Etters PA 06/2018 08/2018
Nylife Securities Llc Harrisburg PA 03/2019 03/2019
New York Life Insurance Co Harrisburg PA 08/2018 03/2019
Lombard Securities Incorporated Baltimore MD 03/2019 Present
Lombard Advisers Incorporated Baltimore MD 03/2019 Present
  • 07/2014 → 06/2018
    Delaware University
    Soylestown, PA
  • 06/2018 → 08/2018
    Unemployed
    Etters, PA
  • 03/2019 → 03/2019
    Nylife Securities Llc
    Harrisburg, PA
  • 08/2018 → 03/2019
    New York Life Insurance Co
    Harrisburg, PA
  • 03/2019 → Present
    Lombard Securities Incorporated
    Baltimore, MD
  • 03/2019 → Present
    Baltimore, MD
Other Businesses

1. Corto Financial Group (CGF); Beginning 03/2019; Current Address: 1938 Security Drive, York, PA, USA, 17402; Agent; Insurance Sales - Life, Disability and Long-Term Care. 99% of time spent on Insurance/1% of time spent on investment side. 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. 3. Gallo Financial Group LLC established 4/9/2023 for personal tax purposes. Not used for business purposes.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-06-11
S63 Uniform Securities Agent State Law Examination 2019-03-25
  • S65 Uniform Investment Adviser Law Examination
    2019-06-11
  • S63 Uniform Securities Agent State Law Examination
    2019-03-25

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