Richard Lavoice
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.
Richard Lavoice, who also goes by Rich Lavoice, Richard George Lavoice, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 15, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2013 - July 19, 2023
SYMETRA SECURITIES, INC.
November 1, 2010 - October 2, 2013
SIGNATOR FINANCIAL SERVICES, INC.
October 28, 2010 - September 30, 2013
SIGNATOR FINANCIAL SERVICES, INC.
March 27, 2008 - September 2, 2009
MML INVESTORS SERVICES, LLC
March 23, 2007 - September 2, 2009
MML INVESTORS SERVICES, LLC
December 2, 2005 - September 2, 2009
MML DISTRIBUTORS, LLC
March 14, 2003 - July 7, 2005
UBS FINANCIAL SERVICES INC.
March 12, 2003 - July 7, 2005
UBS FINANCIAL SERVICES INC.
March 22, 2001 - December 31, 2001
COREBRIDGE CAPITAL SERVICES, INC.
October 16, 1995 - February 9, 2001
J.P. MORGAN SECURITIES LLC
July 31, 1993 - October 30, 1995
CITIGROUP GLOBAL MARKETS INC.
March 23, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 7/11/1984
Foreign Currency Options ExaminationSeries 8
Date: 2/2/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
