Rafael M. Lanza
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.
Rafael Mauricio Lanza, who also goes by Rafael M Lanza, Ralph Lanza, Rafael Mauricio Lanza Vasquez, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1994. Rafael had worked at 5 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1998 - January 23, 2001
CARNEGIE INVESTOR SERVICES INC.
April 18, 1997 - March 17, 1998
J. ROBBINS SECURITIES, L.L.C
August 14, 1996 - March 18, 1997
COLEMAN & COMPANY SECURITIES, INC.
April 12, 1995 - October 20, 1997
LADENBURG THALMANN & CO. INC.
October 26, 1994 - May 1, 1995
MORGAN STANLEY DW 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 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
CARNEGIE INVESTOR SERVICES INC.
CRD#: 8295 / SEC#: , 8-24965
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
