Bruce A. Lefavi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bruce Anthony Lefavi was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1982. Bruce had worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2014 - March 20, 2023
LEFAVI WEALTH MANAGEMENT
November 21, 1991 - December 31, 2013
LEFAVI WEALTH MANAGEMENT
August 27, 1982 - April 26, 2024
BRUCE A. LEFAVI SECURITIES, INC.
Primary Firm SEC Registration
LEFAVI WEALTH MANAGEMENT
CRD#: 104961 / SEC#: 801-73029
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LEFAVI WEALTH MANAGEMENT
CRD#: 104961 / SEC#: 801-73029
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,565 |
| AUM (Assets Under Management) | $ 438,841,383 |
Red Flags
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