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JAMES JOSEPH LOMBARDI
CRD#: 1379812
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1675 N MILITARY TRAIL STE 500
BOCA RATON, FL 33486
Registration History
199019952000200520102015202020252 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2019 (9 years)2 FIRMS2019 - Present (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1990 - 1991 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1990 (1 year)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1987 - 1989 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2009 - 2009 (<1 year)
Disclosure(s)
View By:
9/17/2015
Customer Dispute
Denied
3/29/2006
Customer Dispute
Settled
10/28/2003
Customer Dispute
Settled
8/18/2003
Customer Dispute
Settled
License(s)

State Registrations

B
California 6/28/2021

B
New Jersey 11/14/2019

B
Colorado 3/7/2024

IA
New Jersey 12/11/2019

B
Connecticut 11/14/2019

B
New York 11/14/2019

B
Delaware 12/1/2020

IA
New York 7/27/2021

B
Florida 11/14/2019

B
North Carolina 1/10/2020

IA
Florida 5/12/2022

B
Oregon 11/14/2019

B
Maine 11/15/2019

B
Pennsylvania 11/14/2019

B
Maryland 11/14/2019

B
South Carolina 11/15/2019

B
Massachusetts 11/20/2019

B
Texas 11/14/2019

B
Michigan 11/14/2019

IA
Texas 11/14/2019

B
Missouri 11/17/2021

B
Virginia 11/14/2019

B
New Hampshire 5/29/2024

B
Washington 8/25/2023

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1675 N MILITARY TRAIL STE 500, BOCA RATON, FL 33486
2500 WESTCHESTER AVE STES 201 & 203, PURCHASE, NY 10577
Registered with this firm since 11/14/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1675 N MILITARY TRAIL STE 500, BOCA RATON, FL 33486
2500 WESTCHESTER AVE STES 201 & 203, PURCHASE, NY 10577
Registered with this firm since 11/14/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/17/2010 - 11/25/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) WHITE PLAINS, NY
B
10/22/2010 - 11/25/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) WHITE PLAINS, NY
IA
06/01/2009 - 11/05/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) PURCHASE, NY
B
06/01/2009 - 11/05/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PURCHASE, NY
IA
01/21/2009 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
01/20/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
12/05/1990 - 12/31/1991 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
05/22/1989 - 11/08/1990 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
02/24/1987 - 05/22/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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Broker
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Investment Adviser
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.