Earl M. Vraney
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.
Earl Michael Vraney was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 2002. Earl had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2011 - April 2, 2013
EQUITEC TRADING, LLC
October 18, 2002 - November 18, 2010
LAKESHORE SECURITIES, L.P.
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
Current Firm
EQUITEC TRADING, LLC
CRD#: 120636 / SEC#: , 8-65327
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITEC GROUP, LLC | MANAGING MEMBER | |
| BARCLAY, DAVID JOSEPH | GENERAL COUNSEL | 2184305 |
| DANIEL ASHER ANNUITY TRUST LIII | MEMBER | |
| DANIEL ASHER ANNUITY TRUST LVII | MEMBER | |
| DANIEL ASHER ANNUITY TRUST LVIII | MEMBER | |
| DANIEL ASHER ANNUITY TRUST LXIII | MEMBER | |
| DANIEL ASHER ANNUITY TRUST LXIV | MEMBER | |
| DANIEL ASHER ANNUITY TRUST LXV | MEMBER | |
| DANIEL ASHER ANNUITY TRUST LXVI | MEMBER | |
| GOLDMAN, FRED OWEN | CFO | 1857380 |
| GOLDMAN, FRED OWEN | CHIEF COMPLIANCE OFFICER | 1857380 |
| JOHN P LAROCQUE ANNUITY TRUST XXII | MEMBER | |
| JOHN P LAROCQUE ANNUITY TRUST XXVI | MEMBER | |
| JOHN P LAROCQUE ANNUITY TRUST XXVII | MEMBER | |
| JOHN P LAROCQUE ANNUITY TRUST XXXII | MEMBER | |
| JOHN P LAROCQUE ANNUITY TRUST XXXIII | MEMBER | |
| JOHN P LAROCQUE ANNUITY TRUST XXXIV | MEMBER | |
| JOHN P LAROCQUE ANNUITY TRUST XXXV | MEMBER | |
| KUEHNER, CHRISTOPHER JOSEPH | COMPLIANCE | 2337409 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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