Larry B. Caviness
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 Braxton Caviness, who also goes by Larry Braxton Caniness, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1991. Larry had worked at 5 firms and has passed the Series 63, Series 22TO, SIE, Series 22 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
September 17, 2019 - November 1, 2019
THE CHAMPION GROUP, INC.
February 27, 2013 - July 26, 2013
DBA THE DELTA COMPANY
November 26, 2008 - July 31, 2009
PINNACLE PARTNERS FINANCIAL CORPORATION
March 5, 2008 - November 18, 2008
THE TIDAL GROUP, INC.
August 8, 2007 - March 3, 2008
TRINITY SECURITIES, INC.
July 22, 2004 - July 11, 2007
THE CHAMPION GROUP, INC.
September 16, 1991 - February 9, 1994
THE CHAMPION GROUP, 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 22TO
Date: 9/17/2019
Direct Participation Programs Representative ExaminationCurrent Firm
THE CHAMPION GROUP, INC.
CRD#: 23418 / SEC#: , 8-40417
Contact information
FINRA licenses (47 States and Territories)
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.
