The Lombard Difference

Experience is the key to Lombard’s success and stability as one of the nation’s few independent, Broker Dealer employee-owned firms. The members of our management team have a minimum of 35 years of experience in the financial industry, and we put this knowledge and expertise to work directly for our brokers.

Lombard Securities offers prospective brokers a business model that works. Our model combines the following:

Low Fees – Among the lowest in the independent broker-dealer market
Unparalleled personal service
Industry leading technology, and access to product and marketing expertise provided to us by our strategic partners.
Truly independent investment advice or portfolio management. Manage your client’s assets in their best interests.

Unique Business Model

For the independent broker we offer a very effective combination of low cost business operations, personal service to you and your clients, and excellent technology for servicing your clients, with strategic partnerships for marketing your business and taking advantage of investment expertise that is vital to growing your business. Please see our Broker FAQ in this section for all details on our payout grid and fees. Download our Lombard Summary Sheet a one-page guide listing the products, services, and fee schedule for your reference.

We have a transition team in the home office guiding you every step of the way. From pre-approved announcement letters, change of dealer letters, ACAT letters which we send to your clients on your behalf, to template designed letterhead and business cards we have you covered during your entire transition. Our team will track you ACAT account progress, and touch base with you every day regarding your account transfers.

The firm’s strategic partners include a web content, design, and hosting firm for retail brokers, an outside insurance IMO giving our brokers a high level of support for various insurance products, an independent Trust company for corporate and individual trusts, and a graphic design firm for printed marketing materials.

wallstreet

Employee Owned, Truly Independent

When it comes to making recommendations or managing portfolios for your clients, Lombard Securities provides you with the true independence to deal with your clients in any way you see fit, as long as you’re putting your clients’ best interests ahead of your own. Though Lombard, you can manage portfolios though our RIA, or you may use a separate manager, or use computer based asset or market timing models, or simply manage customer portfolios yourself. You will never experience product or asset class favoritism. Lombard payout is the same on all products. This statement holds true for the transaction based adviser as well as the investment adviser representative.

Lombard is a small firm that offers key advantages over the larger independent firms. We are unique in that our firm is 70% owned by its advisers and current senior management all of whom have a book of clients and deal with them every day. Every one of our registered representatives has cell phone access to senior management at any time. That’s not just talk; the firm has two Co-CEOs who are on a first name basis with everyone associated with the firm. It is routine that when a Lombard broker has a problem or concern, he/she will call either of Lombard’s Co-CEOs for guidance.

bullseye

Full Service - Web based access to product research, experts & client services

You will have access to a turnkey solution for internet based account access whether you are doing transnational business or operating under our investment advisory platform. Included in this package is real time research and screening reports on over 13,000 equities and mutual funds. Our clearing firm offers products that you and your clients will appreciate such as house-holding of account statements, free check writing, online account access, and ACH transfers. Our account access platform offers electronic trading of stocks, options, bonds, and mutual funds, along with sophisticated portfolio reports such that address gains/losses and anticipated income. We can schedule a full system demo at your request.

glasses

The Lombard Difference

Become a Lombard Broker – Sidebar

Unique Business Model

Employee Owned, Truly Independent

Full Service - Web based access to product research, experts & client services