Joseph Sutphin has been an investment adviser representative at Lombard Advisers since July 2022, and is not listed among the firm’s executive officers or direct owners.
Lombard Advisers Incorporated is a Baltimore, MD firm with $670M under management, 985 clients and 30 advisers across 24 offices, as of its March 2026 filing.
- – present · 4 yearsRadford, VA · Adviser representative · Firm CRD 108231
Investment adviser representative registrations
Joseph Sutphin is registered as an investment adviser representative in Virginia, since July 2022.
- VirginiaSince 14 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 13 July 2022 |
| Series 7TO | General Securities Representative Examination | 2 February 2022 |
| SIE | Securities Industry Essentials Examination | 28 September 2021 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Joseph Matthew Sutphin
- CRD
- 7495163
- Firm
- Lombard Advisers · CRD 108231
- Office
- 106 Wadsworth Street, Suite A, Radford, VA 24141
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 2022
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joseph Sutphin work?
Joseph Sutphin is an investment adviser representative registered through Lombard Advisers Incorporated since July 2022, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Sutphin a financial advisor?
Yes. Joseph Sutphin has a current investment-adviser registration in Virginia, through Lombard Advisers since July 2022.
How many years of experience does Joseph Sutphin have?
Joseph Sutphin has 4 years in the financial industry, since February 2022, across 1 adviser firm.
What exams has Joseph Sutphin passed?
Joseph Sutphin has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in September 2021.
Where is Joseph Sutphin based?
Joseph Sutphin’s registered office is in Radford, VA.
Is Joseph Sutphin registered with FINRA?
Yes. Joseph Sutphin has a current broker registration, under CRD 7495163.
Source: FINRA BrokerCheck
How can I verify Joseph Sutphin’s record?
Search CRD 7495163 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Sutphin’s full registration record.