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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Russell Lombardi is a financial advisor with Wells Fargo Clearing Services, LLC. James has been in the financial industry since 1992 and has a broad range of experience in the industry. James has passed numerous securities exams and is registered in a number of states. James can provide financial advice to a variety of clients including individuals, businesses, corporations, charitable organizations, pension and profit-sharing plans, and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NE
11/06/2018 - Present
Wells Fargo Clearing Services, LLC (NORTH PLATTE NE)
NY
11/04/2009 - 04/27/2011
UBS FINANCIAL SERVICES INC. (UNIONDALE NY)
NY
04/26/2007 - 11/03/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREAT NECK NY)
CT
09/20/2005 - 04/23/2007
CITIGROUP GLOBAL MARKETS INC. (GREENWICH CT)
MO
07/01/2003 - 09/16/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/16/1996 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/01/1993 - 08/23/1996
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
AZ
01/16/1992 - 11/18/1992
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NY
10/17/1990 - 11/21/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
02/16/1990 - 03/27/1990
MADISON CHAPIN ASSOCS., INC.
NY
11/21/1989 - 02/02/1990
COMMONWEALTH ASSOCIATES (NEW YORK NY)
IA
Issued 12/05/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/21/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1998
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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