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Kathleen Ann Lombardo

Oppenheimer & Co. Inc.

Southbury, CT

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-01-03
CT RA APPROVED 2016-05-17
  • TX RA
    APPROVED
    Since 2017-01-03
  • CT RA
    APPROVED
    Since 2016-05-17

Branch Locations

466 Heritage Road, Southbury, CT 06488 • 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
Oppenheimer & Co. Inc. Cheshire CT 12/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-17
S63 Uniform Securities Agent State Law Examination 2014-03-27
  • S66 Uniform Combined State Law Examination
    2016-05-17
  • S63 Uniform Securities Agent State Law Examination
    2014-03-27
Other Names
  • Kathleen A Mccarthy

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHBURY, CT
LPL FINANCIAL LLC · SOUTHBURY, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Southbury, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHBURY, CT
LPL FINANCIAL LLC · SOUTHBURY, CT
WELLS FARGO CLEARING SERVICES, LLC · SOUTHBURY, CT
OSAIC INSTITUTIONS, INC. · SOUTHBURY, CT
KESTRA ADVISORY SERVICES, LLC · Southbury, CT

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