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PL

Pasquale M. Lavecchia

OASIS PRO MARKETS LLC
STAMFORD, CT 06902
Some features on this profile are disabled
CRD#: 2403011
PL

Professional summary

Pasquale Mario Lavecchia, who also goes by Pat Mario Lavecchia, is a registered financial professional currently at OASIS PRO MARKETS LLC located in Stamford, Connecticut.

Pasquale is registered as a RR (Registered Representative) and started their career in finance in 1994. Pasquale has worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat Mario Lavecchia

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) - BD

Click below to view Pasquale Mario Lavecchia's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 19, 2009 - Present

OASIS PRO MARKETS LLC

Office #1: 43 Harbor Drive Unit 206, Stamford, CT 06902
BD
CRD#: 149420
STAMFORD, CT
Past

July 12, 2005 - April 13, 2006

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
NEW YORK, NY
Past

April 4, 2005 - February 2, 2007

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
NEW YORK, NY
Past

July 18, 2003 - May 20, 2005

VIANT CAPITAL LLC

BD
CRD#: 46948
SAN FRANCISCO, CA
Past

September 17, 2001 - April 15, 2003

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

February 11, 1997 - March 7, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 26, 1994 - February 14, 1997

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/3/2025)
RR
Alaska
(11/4/2025)
RR
Connecticut
(6/20/2025)
RR
Delaware
(11/10/2025)
RR
Idaho
(10/26/2025)
RR
Iowa
(10/26/2025)
RR
Kansas
(11/12/2025)
RR
Louisiana
(10/27/2025)
RR
Maine
(11/14/2025)
RR
Michigan
(10/26/2025)
RR
Mississippi
(3/16/2021)
RR
Nevada
(10/26/2025)
RR
New York
(8/1/2025)
RR
North Carolina
(10/28/2025)
RR
Ohio
(10/26/2025)
RR
Oklahoma
(10/30/2025)
RR
Oregon
(11/5/2025)
RR
Rhode Island
(10/26/2025)
RR
South Carolina
(10/29/2025)
RR
Utah
(10/29/2025)
RR
Vermont
(10/29/2025)
RR
West Virginia
(11/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/8/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/31/2009
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OP
OASIS PRO MARKETS LLC
LAVECCHIA CAPITAL LLC | OASIS PRO MARKETS LLC

CRD#: 149420 / SEC#: , 8-68164

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
43 Harbor Drive Unit 206, Stamford, CT 06902
Mailing Address
43 Harbor Drive Unit 206, Stamford, CT 06820
Phone number
(203) 247-6700
Established
Delaware since 02/09/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ONDO FINANCE CORPORATIONOWNER
LAVECCHIA, PASQUALE MARIOCHIEF EXECUTIVE OFFICER / MANAGING MEMBER2403011
YOSTPILLE, ROBERT GCHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER4822760

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

OASIS PRO MARKETS LLC

CRD#: 149420Stamford, CT 06902

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