Lynne P. Walrod
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.
Lynne Patricia Walrod, who also goes by Lynne Patricia Fagan, Lynne Fagan-walrod, was a registered financial professional .
Lynne is a previously registered financial professional and started their career in finance in 1993. Lynne had worked at 8 firms and has passed the Series 63, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - July 17, 2013
TFS DERIVATIVES LLC
January 27, 2010 - July 14, 2011
TRADITION SECURITIES AND DERIVATIVES LLC
July 10, 2009 - January 26, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
March 24, 2005 - March 25, 2008
TOCQUEVILLE SECURITIES L.P.
January 21, 2003 - January 8, 2004
THE GRISWOLD COMPANY, INCORPORATED
May 2, 2000 - January 22, 2003
CIBC WORLD MARKETS CORP.
June 28, 1996 - July 23, 1997
DIRECT BROKERAGE, INC.
July 19, 1993 - June 20, 1995
LEHMAN BROTHERS INC.
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 25
Date: 5/1/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 3/31/2003
Limited Representative-Equity Trader ExamCurrent Firm
TFS DERIVATIVES LLC
CRD#: 30395 / SEC#: , 8-44903
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | OWNER | |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | |
| MEHAN, JEFFREY LELAND | PRESIDENT | 1053445 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER | 3154976 |
| RICCIARDI, JUDITH ANN | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER & COO | |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 2 |
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.
