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AL

Alan Lavoie

Some features on this profile are disabled
CRD#: 1065338
AL

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.

Alan Lavoie, who also goes by Alan (nmn) Lavoie, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 10 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan (nmn) Lavoie

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 3, 1997 - March 2, 1998

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

BD
CRD#: 7315
PALM BEACH GARDENS, FL
Past

July 19, 1996 - July 16, 1997

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

October 13, 1994 - May 31, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

January 31, 1994 - September 29, 1994

FIDELITY EQUITY SERVICES CORPORATION

BD
CRD#: 17455
Past

January 2, 1992 - September 3, 1993

DETWILER FENTON WEALTH MANAGEMENT INC

BD
CRD#: 16063
BOSTON, MA
Past

July 19, 1988 - September 13, 1990

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

November 26, 1984 - July 8, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

August 25, 1984 - October 18, 1984

BOARDWALK CAPITAL CORPORATION

BD
CRD#: 10279
Past

February 18, 1983 - May 12, 1983

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

September 24, 1982 - November 30, 1982

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/9/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1982
General Securities Representative Examination

Current Firm

PE
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

CRD#: 7315 / SEC#: , 8-20986

BD
Terminated by SEC on 05/29/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 03/31/1976
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BAUM, EDWARD JEROMESECRETARY843044
GEIGER, JAMES WILLIAMDIRECTOR, PRESIDENT, & CHIEF REGULATORY OFFICER2321186
ROBERTS, VERNON KEITHCHIEF COMPLIANCE OFFICER1196897
SEWARD, GREGORY ROBERTTREASURER1846323

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY

CRD#: 7315

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