Larry P. Wachler
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.
Larry Phillip Wachler, who also goes by Lawrence Philip Wachler, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1996. Larry had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2003 - December 31, 2003
INVESTEC INC.
April 25, 2000 - March 2, 2016
HAPOALIM SECURITIES USA, INC.
July 9, 1997 - May 15, 2000
EARLYBIRDCAPITAL, INC.
September 25, 1996 - May 15, 2000
SSI SECURITIES CORP.
September 25, 1996 - May 15, 2000
GKN SECURITIES CORP.
July 19, 1996 - September 4, 1996
GILFORD SECURITIES INCORPORATED
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 55
Date: 4/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
INVESTEC INC.
CRD#: 18553 / SEC#: , 8-36892
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA GROUP, INC. | PARENT COMPANY | |
| BURGHARDT MC DONOUGH, RITA CHRISTINE | SECRETARY | 4324201 |
| DRAZKA, FRANK JERRY | PRESIDENT | 2208093 |
| HERMAN, HUGH SIDNEY | DIRECTOR; CHAIRMAN OF THE BOARD | 3005992 |
| KANTOR, BERNARD | DIRECTOR | 3005897 |
| KOSEFF, STEPHEN | DIRECTOR | 3009705 |
| MURABITO, JOHN JAMES | CEO/ACTING HEAD OF CORP. FINANCE & CAP. MARKETS | 1075873 |
| PARAGGIO, STEVEN JOHN | CFO | 2495234 |
| RAPPAPORT, DAVID ROBERT | GENERAL COUNSEL | 2212433 |
| ROSENBLUM, SCOTT S. | DIRECTOR | 4251370 |
| WACHLER, LARRY PHILLIP | CCO/AML OFFICER | 1239220 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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