Carl R. Lavoie
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.
Carl Roland Lavoie was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1994. Carl had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
September 18, 2006 - December 31, 2017
SAXONY SECURITIES, INC.
January 26, 2004 - September 11, 2006
MERRIMAC CORPORATE SECURITIES, INC.
February 28, 2003 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
August 30, 2002 - September 27, 2002
NEXTRADE
December 7, 2001 - January 11, 2002
EQUITABLE ADVISORS, LLC
May 27, 1999 - October 22, 2001
PARK FINANCIAL GROUP, INC.
November 29, 1994 - May 25, 1999
FIRST MONTAUK SECURITIES CORP.
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: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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