Lloyd G. Ucko
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.
Lloyd G Ucko, who also goes by Lloyd George Ucko, was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1986. Lloyd had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
January 15, 2013 - July 20, 2015
AVATAR CAPITAL GROUP LLC
July 14, 2006 - February 9, 2010
GOLDMAN SACHS & CO. LLC
March 8, 2006 - July 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - July 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 2004 - March 8, 2006
ADVEST, INC.
November 20, 1995 - March 8, 2006
ADVEST, INC.
May 7, 1994 - April 11, 1995
CREDIT SUISSE SECURITIES (USA) LLC
September 24, 1986 - January 28, 1994
GOLDMAN SACHS & CO. LLC
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 8
Date: 10/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVATAR CAPITAL GROUP LLC
CRD#: 150136 / SEC#: , 8-68218
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
