Michael B. Lazar
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.
Michael Ben Lazar, who also goes by Mike Lazar, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 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
November 9, 2016 - October 4, 2022
CODA MARKETS, INC.
March 22, 2007 - September 19, 2007
MILETUS TRADING, LLC
January 22, 2001 - July 1, 2015
LIQUIDNET, INC.
July 15, 1998 - June 12, 2000
WELLS FARGO SECURITIES INC.
May 27, 1992 - July 13, 1998
HSBC SECURITIES (USA) INC.
January 13, 1992 - June 2, 1992
CIBC WORLD MARKETS CORP.
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 ExaminationCurrent Firm
CODA MARKETS, INC.
CRD#: 36187 / SEC#: , 8-47077
Contact information
FINRA licenses (5 States and Territories)
Documents
Disclosures
| Regulatory Event | 15 |
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.
