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Ted Anthony Lachowicz

CRD# 1467098·Registered 1986 - 2012
Previously Registered: Being a previously registered professional could mean that Ted 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.

Professional Summary

Ted Anthony Lachowicz was a registered financial advisor. Ted was a previously registered financial professional and started their career in finance 1986 - 2012. Ted had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

DESON & CO.·CRD# 122129
BD
Henderson, NV
November 20, 2009 - August 15, 2012
BABCOCK & BROWN INVESTMENT ADVISER LLC·CRD# 113909
RIA
San Francisco, CA
September 24, 2003 - January 11, 2008
BABCOCK & BROWN FINANCIAL CO. LLC·CRD# 14058
BD
San Francisco, CA
November 18, 1994 - January 11, 2008
D'ACCORD FINANCIAL SERVICES, INC.·CRD# 16210
BD
San Francisco, CA
July 24, 1986 - March 21, 1994

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Current Firm

D&
DESON & CO.

DESON & CO.

CRD#: 122129 / SEC#: 8-65466
BD
Terminated by SEC on 04/07/2019

Contact Information

Established

New York since 07/12/1998

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DESON, SEANCEO/CCO/FINOP1963451

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1986About the Series 7 exam

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CRS (Client Relationship Summary)

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

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