Stephen Prindle has been an investment adviser representative at Lombard Advisers since April 2017, 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.
Stephen Prindle’s longest registration is the current one, 9 years at Lombard Advisers since 2017. Before joining Lombard Advisers in 2017, Stephen Prindle was registered through Ifs Advisory, LLC and Summit Financial Group Inc.
- – present · 9 yearsYork, PA · Adviser representative · Firm CRD 108231
- Ifs Advisory, LLC– · under a yearAtlanta, GA · Adviser representative · Firm CRD 154680
- Summit Financial Group Inc– · under a yearYork, PA · Adviser representative · Firm CRD 109485
Investment adviser representative registrations
Stephen Prindle is registered as an investment adviser representative in Pennsylvania, since April 2017.
- PennsylvaniaSince 21 April 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 31 December 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 June 2015 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 4 June 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Stephen Harlowe Prindle
- CRD
- 6482683
- Firm
- Lombard Advisers · CRD 108231
- Office
- 1938 Security Drive, York, PA 17402
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 2015
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Stephen Prindle work?
Stephen Prindle is an investment adviser representative registered through Lombard Advisers Incorporated since April 2017, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Prindle a financial advisor?
Yes. Stephen Prindle has a current investment-adviser registration in Pennsylvania, through Lombard Advisers since April 2017.
How many years of experience does Stephen Prindle have?
Stephen Prindle has 11 years in the financial industry, since June 2015, across 3 adviser firms.
What exams has Stephen Prindle passed?
Stephen Prindle has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in June 2015. FINRA credited Stephen Prindle with the SIE, which began in October 2018.
Where did Stephen Prindle work before Lombard Advisers?
Before Lombard Advisers, Stephen Prindle was registered through Ifs Advisory, LLC, July 2016 to April 2017; Summit Financial Group Inc, January 2016 to July 2016.
Where is Stephen Prindle based?
Stephen Prindle’s registered office is in York, PA.
Is Stephen Prindle registered with FINRA?
Yes. Stephen Prindle has a current broker registration, under CRD 6482683.
Source: FINRA BrokerCheck
How can I verify Stephen Prindle’s record?
Search CRD 6482683 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephen Prindle’s full registration record.