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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph P. Lombardo is an investment advisor representative with UBS Financial Services Inc., based in New York, NY. Joseph P. Lombardo is registered with FINRA (Financial Industry Regulatory Authority) and has been in the industry since 1992. Prior to joining UBS Financial Services Inc., Joseph P. Lombardo was employed at Morgan Stanley DW Inc. and Prudential Securities Incorporated. Joseph P. Lombardo is registered with the states of California, Connecticut, Florida, Massachusetts, New Jersey, New Mexico, New York, Vermont, and Virginia. Joseph P. Lombardo has passed several industry exams, including the Series 3, Series 7, Series 9, Series 10, Series 63, and Series 65.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
04/17/2000 - 06/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
10/14/1994 - 04/19/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/11/1992 - 11/03/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 11/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2007
Series 3 - National Commodity Futures Examination
BC
Issued 03/10/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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