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JL
JL
James Kingsley Lombardo
Quint Capital Management
41 Years of Experience
19 Disclosures
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Retirement Planning
High Net Worth
Quint Capital Management
Compensation
Fee-Only (AUM)
Fixed/Hourly
Firm Size
9 advisors
Number of Clients
101 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$147.6M
Fee Structure
Minimum Investment:
$10K
Financial Planning:
Investment management only
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Location
230 Park Ave - 361W, New York, NY, 10169
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History
Regulatory History (19)
What are disclosures?
Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations.
Learn how to evaluate them
.
Customer Dispute
September 2001
Denied
Regulatory
August 2001
Final
Customer Dispute
August 2001
Settled
Customer Dispute
April 2001
Settled
Customer Dispute
January 2001
Settled
Customer Dispute
January 2001
Settled
Regulatory
September 2000
Final
Customer Dispute
August 2000
Denied
Customer Dispute
September 1997
Settled
Customer Dispute
May 1997
Settled
Customer Dispute
May 1997
Settled
Customer Dispute
March 1997
Settled
Customer Dispute
March 1997
Settled
Customer Dispute
February 1997
Settled
Customer Dispute
January 1997
Settled
Customer Dispute
January 1997
Settled
Customer Dispute
January 1997
Settled
Customer Dispute
January 1997
Settled
Employment Separation After Allegations
March 1989
View Full SEC Report
How to Read Disclosures
Employment History
Current Registrations
Quint Capital Management
May 2019 - Present · 6 yrs 9 mos
Quint Capital Corporation
January 2019 - Present · 7 yrs 1 mo
Quint Capital Corporation
Broker
January 2019 - Present · 7 yrs 1 mo
Previous Registrations
Petersen Investments, INC.
October 2013 - January 2019 · 5 yrs 3 mos
Petersen Investments, INC.
Broker
March 2001 - January 2019 · 17 yrs 10 mos
Gruntal & CO., L.L.C.
Broker
May 1997 - February 2001 · 3 yrs 9 mos
A. G. Edwards & Sons, INC.
Broker
February 1990 - April 1997 · 7 yrs 2 mos
Jesup & Lamont, Incorporated
Broker
February 1990 - March 1990 · 1 mo
Hanifen, Imhoff Securities CORP.
Broker
January 1990 - January 1990 · 0 mos
Moore & Schley, Cameron & CO.
Broker
December 1989 - January 1990 · 1 mo
J. T. Moran & CO., INC.
Broker
March 1989 - January 1990 · 10 mos
Mclaughlin, Piven, Vogel INC.
Broker
March 1984 - April 1989 · 5 yrs 1 mo
M V Securities, INC. INC.
Broker
January 1984 - March 1984 · 2 mos
State Registrations
5 states
CA
CT
FL
NJ
NY
Advisor
Broker
Both
Exams
No exam information available for this advisor.