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Investment Adviser Firm Summary
LOMBARD ADVISERS INCORPORATED ( CRD # 108231/SEC#:801-114981 )
ARK FINANCIAL SOLUTIONS, WHITEHOUSE FINANCIAL GROUP, WEST VIRGINIA WEALTH ADVISORS, TANGEN FINANCIAL, LLC, SLAGLE INVESTMENTS, LLC…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved4/12/2019
ColoradoTerminated12/31/2009
DelawareTerminated5/1/2019
LouisianaTerminated4/30/2019
MarylandTerminated5/10/2019
MassachusettsTerminated1/16/2007
MichiganTerminated11/27/2001
New HampshireTerminated12/31/2004
New JerseyTerminated4/30/2019
North CarolinaTerminated5/1/2019
PennsylvaniaTerminated4/29/2019
South DakotaTerminated1/28/2004
TexasTerminated4/29/2019
VirginiaTerminated8/2/2019
West VirginiaTerminated4/29/2019
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
California4/12/2019
Colorado4/30/2020
Delaware5/4/2020
Florida4/12/2019
Illinois4/12/2019
Kentucky3/27/2025
Louisiana4/12/2019
Maryland4/12/2019
Missouri11/2/2021
New Jersey4/16/2019
New York4/30/2020
North Carolina4/12/2019
Ohio8/7/2019
Pennsylvania4/12/2019
South Carolina3/30/2021
Tennessee4/12/2019
Texas4/12/2019
Virginia4/12/2019
West Virginia11/20/2024
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.