William Socha has been Chief Financial Officer of Lombard Advisers since November 2000, is a control person of the firm and directly owns under 5% of it.
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.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 4 | Registered Options Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 15 June 2016 |
| Series 24 | General Securities Principal Examination | 11 September 2001 |
| Series 66 | Uniform Combined State Law Examination | 6 November 2000 |
| Series 27 | Financial and Operations Principal Examination | 5 June 1997 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 27 March 1985 |
| Series 5 | Interest Rate Options Examination | 20 October 1981 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 September 1981 |
| Series 7 | General Securities Representative Examination | 19 July 1980 |
- Name
- Municipal Securities Representative Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Registered Options Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Interest Rate Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Stephen Socha
- CRD
- 712323
- Firm
- Lombard Advisers · CRD 108231
- Role
- Chief Financial Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does William Socha work?
William Socha has been Chief Financial Officer of Lombard Advisers Incorporated since November 2000, and is a control person of the firm.
Does William Socha have a current investment-adviser registration?
William Socha has a current broker registration and no current investment-adviser registration.
What exams has William Socha passed?
William Socha has passed 13 licensing exams: the Series 7, Series 63, Series 5, Series 8, Series 27, Series 66, Series 24, Series 53, Series 9, Series 10, Series 4, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in July 1980. FINRA credited William Socha with the SIE, which began in October 2018.
Where was William Socha previously registered as an investment adviser?
William Socha has past investment-adviser registrations through Lombard Advisers Incorporated, February 2001 to January 2023, across 1 firm.
Is William Socha registered with FINRA?
Yes. William Socha has a current broker registration, under CRD 712323.
Source: FINRA BrokerCheck
How can I verify William Socha’s record?
Search CRD 712323 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish William Socha’s full registration record.