Management Team

Experience is the key to Lombard’s success and stability as one of the nation’s largest independent, broker-owned firms. The members of our management team average 30
years of experience in the financial industry, and we put this knowledge and expertise
to work directly for our brokers.

Putting Clients First

Lombard’s management team believes in a client-centric approach to doing business.
That’s why, coupled with our industry knowledge and expertise, we provide the 24/7
support you need to keep your business up and running. As your support team, we’re
always available and accessible – because being an independent broker doesn’t mean
going it alone.

Meet Our Management Team

Daniel T. McHugh, President and CEO
Dan McHugh brings extensive retail broker experience to the firm in the areas of sales, brokerage systems development and compliance.

He began his securities career as a regulatory official at the NASD. In 1976, he joined the retail sales staff of Paine, Webber, Jackson and Curtis, Inc., where he served as Vice President and passed the Branch Office Manager Examination. In 1984, Dan became the National Sales Manager for New York Stock Exchange member Baker, Watts & Co., and served on the firm's executive committee. He then joined Johnston, Lemon & Co., Inc., a Washington, D.C.-based NYSE member, where he served as Senior Vice President.

Prior to founding Lombard Securities, Dan participated in the development of the first
real-time operations system on Wall Street and helped design the first fully integrated asset management account used by regional brokerage firms. He is active in the Securities Industry Financial Marketing Association, is both a NASD and NYSE arbitrator, and is well known and respected in the financial community.

William S. Socha, Managing Director and COO
Bill Socha began his securities career in 1969 at NYSE member Baker, Watts & Co. His various responsibilities at the firm included Director of Research, Vice President of Retail Sales Administration, and Managing Director of Operations. In 1989 and 1990, he served
as a consultant to regional brokerage firms involved with operational systems conversions. Subsequently, he joined Alex. Brown & Sons and became Vice President of
Customer Service.

Bill joined Lombard Securities in 1997 as its Chief Operating Officer. He brings extensive experience in design, development and operations of brokerage computer systems.

C. Curtis Fox, Senior Vice President and Director of Compliance
Curt Fox received his Series 7 registration in 1983 and his Branch Office Manager license in 1986. Since then, he has been a retail broker and branch office manager for New York Stock Exchange Members Baker, Watts & Co., and Johnston, Lemon & Co., Inc.

As a retail broker, in addition to advising individuals, Curt developed a profitable institutional banking business providing equity financing and fixed income sales to community banks.

In 1993, he started his own business as the owner of a branch office affiliated with an independent NASD broker/dealer. Having developed an early interest in the Internet, Curt spent considerable time investigating various programs and systems that showed promise
of usefulness to independent brokers.

Curt joined Lombard Securities as Branch Manager in 1997, and subsequently became Associate Director of Compliance. He was promoted to Compliance Director in October
2000. He is a member of numerous industry compliance organizations.

Todd Benedict, Operations Manager
Todd Benedict joined Lombard Securities in 2009 as the firm's Operations Manager. Having developed an interest in financial regulation, he began his securities career in 2000 at NYSE member Ferris, Baker, Watts, Inc., where he became the supervisor of the Margin and Cashier Departments. Todd brings extensive operations and cash management experience, and will be a valuable compliment to Bill Socha as he manages the day-to-day operations at Lombard.