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Louis Michael Lombardi

Smbc Nikko Securities America, Inc.

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About Louis Michael Lombardi

Louis Lombardi is a securities professional with over 17 years of experience in the financial services industry. Louis currently works as a registered representative at Smbc Nikko Securities America, Inc. in New York, NY. Louis has previously held positions at Wells Fargo Securities, LLC, Morgan Stanley & Co. LLC, ICAP Corporates LLC, Linkbrokers Derivatives LLC, Knight Equity Markets, L.P., Labranche Structured Products LLC, and Charlton Specialist Partners LLC.

Firm Information

Louis Lombardi is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Louis Lombardi’s Registration & Firm History

NY

02/10/2016 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

12/10/2015 - 02/12/2016

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

NY

08/22/2014 - 08/12/2015

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NJ

04/01/2013 - 07/25/2014

ICAP CORPORATES LLC (JERSEY CITY NJ)

NY

09/29/2008 - 07/25/2014

LINKBROKERS DERIVATIVES LLC (NEW YORK NY)

NJ

05/29/2007 - 10/01/2008

KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)

NY

11/14/2005 - 05/24/2007

LABRANCHE STRUCTURED PRODUCTS LLC (NEW YORK NY)

NY

12/15/2003 - 08/24/2004

CHARLTON SPECIALIST PARTNERS LLC (NEW YORK NY)

NY

09/26/2003 - 12/16/2003

CHARLTON SPECIALIST PARTNERS LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/05/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/15/2007

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/03/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/16/2006

Series 4 - Registered Options Principal Examination

BC

Issued 09/11/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/30/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/20/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Louis Michael Lombardi.
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