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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

JAMES RUSSELL LOMBARDI

Advisor at WELLS FARGO ADVISORS

OMAHA, NE

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Search this name across graphsid dfx:ria:14433948-4bad-6a7c-4345-ef5c8f5255fc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 13, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 11, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Dec 11, 1989
First registration: Dec 13, 2005
Dual registered: yes, broker-dealer
Other names: JAMES RUSSELL LOMBARDI
IAPD individual key: 2001096

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 3, 2011	n/a	yes	OMAHA, NE	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 4, 2009	Apr 27, 2011	no	GARDEN CITY, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 26, 2007	Nov 3, 2009	no	LOCUST VALLEY, NY\|GREAT NECK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 13, 2005	Apr 23, 2007	no	GREENWICH, CT\|GREENWICH, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Apr 27, 2011	Oct 3, 2011	159	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Nov 3, 2009	Nov 4, 2009	1	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 23, 2007	Apr 26, 2007	3	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Oct 3, 2011 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 4, 2009 to Apr 27, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 26, 2007 to Nov 3, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 13, 2005 to Apr 23, 2007factForm ADV

Dated events

No dated event names this entity yet.