CL
CL
Charles Lombardi
28 Years of Experience
New Haven, CT
2 DisclosuresBroker
Charles Lombardi is a registered investment advisor at Morgan Stanley, based in New Haven, CT, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
545 Long Wharf Drive, 7th Floor, New Haven, CT, 06511
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Regulatory History (2)
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Customer Dispute
December 2023Denied
Customer Dispute
April 2010Denied
Other Business Activities
Charles is a board member for the Orange Board of Finance since August 2024. This requires minimal time outside of business hours.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 10 mos
Morgan Stanley
June 2009 - Present · 16 yrs 10 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
May 1998 - April 2007 · 8 yrs 11 mos
Morgan Stanley Dw INC.Broker
September 1997 - April 2007 · 9 yrs 7 mos
Oppenheimer & CO., INC.Broker
June 1997 - September 1997 · 3 mos
State Registrations24 states
AZCACOCTDEFLGAIDKSMAMDMENCNJNVNYPARISCTXVAVTWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.