Larry D. Vandervoort
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 Dean Vandervoort was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1987. Larry had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2006 - August 14, 2006
UNITED SECURITIES ALLIANCE, INC.
July 25, 2002 - September 1, 2004
QA3 FINANCIAL CORP.
April 28, 1997 - July 24, 2002
GWR INVESTMENTS, INC.
August 27, 1992 - April 2, 1997
A. G. EDWARDS & SONS, INC.
August 10, 1992 - August 24, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
April 2, 1991 - August 13, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1987 - August 17, 1990
PRUCO SECURITIES, LLC.
January 1, 1987 - August 14, 1987
SEA INVESTORS CORPORATION
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
UNITED SECURITIES ALLIANCE, INC.
CRD#: 36487 / SEC#: , 8-47282
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| US ALLIANCE HOLDINGS, INC. | OWNER | |
| BLOOMINGKEMPER, RONALD KEITH | CHAIRMAN OF BOARD | 1087036 |
| CANNELLA, JEFFREY JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP | 2236889 |
| DAVIS, DANA LORAINE | INSURANCE PRINCIPAL, IA/CCO | 1715382 |
| JONES, MICHAEL WASHINGTON | EXECUTIVE VICE PRESIDENT / DIRECTOR | 3248874 |
| PETRINOVICH, RONALD JAMES | DIRECTOR | 1099207 |
| SUTHERLAND, PATRICK EMANUEL | DIRECTOR/FINOP | 3042322 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
