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TL

Thomas L. Lanzana

Some features on this profile are disabled
CRD#: 2274599
TL

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.

Thomas Louis Lanzana, who also goes by Thomas L Lanzana, Tom Lanzana, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 9 firms and has passed the Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas L Lanzana | Tom Lanzana

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 12, 2011 - July 8, 2011

COASTAL TRADE SECURITIES, LLC

BD
CRD#: 148246
SHORT HILLS, NJ
Past

August 30, 2010 - January 5, 2011

TRANSCEND CAPITAL

BD
CRD#: 104483
AUSTIN, TX
Past

May 21, 2008 - August 10, 2010

SOLARIS SECURITIES, INC.

BD
CRD#: 31998
SAN ANTONIO, TX
Past

September 29, 2006 - March 27, 2008

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
RIDGEFIELD, CT
Past

September 13, 2002 - September 14, 2006

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

October 22, 2001 - October 1, 2002

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

November 28, 1998 - October 18, 2001

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

September 20, 1997 - November 6, 1998

SUMMIT FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 7246
BETHLEHEM, PA
Past

December 21, 1994 - September 9, 1997

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/4/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 12/14/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/20/1994
General Securities Representative Examination

Current Firm

CT
COASTAL TRADE SECURITIES, LLC
COASTAL 1 TRADING, LLC | COASTAL TRADE SECURITIES, LLC

CRD#: 148246 / SEC#: , 8-67999

BD
Cancelled by SEC on 11/20/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/07/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CT HOLDINGS GROUP, LLCHOLDING COMPANY
APOLITO, CHRISTOPHER MMANAGING DIRECTOR2891689
MCGOVERN, MICHAEL ROBERTFINOP2522332
PRESTON, MARC AUIMANAGING DIRECTOR3042037

Disclosures

Regulatory Event6

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.

Company Information

COASTAL TRADE SECURITIES, LLC

CRD#: 148246

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