LOMBARD ADVISERS INCORPORATED of BALTIMORE, MD is an SEC-registered investment adviser (CRD 108231). Regulatory assets under management: $669.8M.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| William Stephen Socha | CHIEF FINANCIAL OFFICER | — |
| Charles Curtis Fox | CHIEF EXECUTIVE OFFICER | — |
| Terry Lynn Donlan Welker | CHIEF COMPLIANCE OFFICER | — |
| SOCHA WILLIAM STEPHEN | CHIEF FINANCIAL OFFICER | — |
| FOX CHARLES CURTIS | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| DONLAN WELKER TERRY LYNN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-02-18 | regulatory | ON FEBRUARY 18, 2022, LOMBARD ADVISERS FILED APPLICATIONS FOR REGISTRATION FOR TWO OF ITS NORTH CAROLINA DOMICILED INVESTMENT ADVISER REPRESENTATIVES. BOTH REPRESENTATIVES ACTED ON BEHALF OF LOMBARD ADVISERS AS UNREGISTERED INVESTMENT ADVISER REPRESENTATIVES IN NORTH CAROLINA SINCE JANUARY 2007. | Final | $3K |
| 2018-03-29 | regulatory | THE DIVISION ALLEGED THAT THE FIRM ALLOWED AN ASSOCIATED PERSON TO REPRESENT THEMSELVES AND ACT AS AN INVESTMENT PRIOR TO APPROVAL OF REGISTRATION WITH THE STATE. | Final | $45K |
| — | regulatory | — | — | — |
Showing 15 of 46 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| YORK | PA | 4 | 717-747-0000 |
| YORK | PA | 4 | 717-747-0000 |
| RADFORD | VA | 3 | 540-639-3201 |
| JENNINGS | LA | 3 | 800-843-9456 |
| RADFORD | VA | 3 | 540-639-3201 |
| JENNINGS | LA | 3 | 800-843-9456 |
| ALLENTOWN | PA | 2 | 610-349-6436 |
| ALLENTOWN | PA | 2 | 610-349-6436 |
| MATHEWS | NC | 2 | 866-933-3201 |
| MATHEWS | NC | 2 | 866-933-3201 |
| CHICO | TX | 1 | 866-874-0425 |
| CHILLICOTHE | MO | 1 | (660) 646-4488 |
| HARDY | VA | 1 | 540-721-8218 |
| EERIE | PA | 1 | 814-451-0033 |
| — | — | 1 | 304 276 1208 |