James Joseph Lombardi

CRD 1379812 · Wells Fargo Advisors · Boca Raton, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 7Series 3Series 10Series 9Series 66Series 65Series 63
Registered states (17): California · Connecticut · Delaware · Florida · Maine · Maryland · Massachusetts · Michigan · New Jersey · New York · North Carolina · Oregon · Pennsylvania · South Carolina · Texas · Virginia · Washington
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1379812 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (10)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Boca Raton, FL · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Boca Raton, FL · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
White Plains, NY · IA capacity

Dec 17, 2010 → Nov 25, 2019
Ubs Financial Services Inc.
White Plains, NY · BC capacity

Oct 22, 2010 → Nov 25, 2019
Morgan Stanley Smith Barney LLC
Purchase, NY · IA capacity

Jun 1, 2009 → Nov 5, 2010
Morgan Stanley Smith Barney
Purchase, NY · BC capacity

Jun 1, 2009 → Nov 5, 2010
Citigroup Global Markets Inc.
New York, NY · IA capacity

Jan 21, 2009 → Jun 1, 2009
Citigroup Global Markets Inc.
New York, NY · BC capacity

Jul 31, 1993 → Jun 1, 2009
Lehman Brothers Inc.
New York, NY · BC capacity

Jan 20, 1992 → Jul 31, 1993
Drexel Burnham Lambert Incorporated
BC capacity

Feb 24, 1987 → May 22, 1989

Source & corrections

Where this page comes from

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