Adam D. Lazar
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.
Adam Daniel Lazar, who also goes by Adam D Lazar, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1994. Adam had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 22, 2019 - September 13, 2019
CUNA BROKERAGE SERVICES, INC.
January 18, 2019 - September 13, 2019
CUNA BROKERAGE SERVICES, INC.
April 6, 2015 - August 17, 2017
W&S BROKERAGE SERVICES, INC.
June 16, 2014 - October 6, 2014
MSI FINANCIAL SERVICES, INC.
November 1, 2010 - June 7, 2013
NYLIFE SECURITIES LLC
November 23, 2009 - August 27, 2010
FIFTH THIRD SECURITIES, INC.
December 3, 2008 - August 27, 2010
FIFTH THIRD SECURITIES, INC.
October 18, 2006 - November 24, 2008
CITIZENS SECURITIES, INC.
August 7, 2006 - November 24, 2008
CITIZENS SECURITIES, INC.
September 17, 2004 - August 4, 2006
MORGAN STANLEY DW INC.
April 25, 1996 - September 22, 2004
A. G. EDWARDS & SONS, INC.
October 18, 1994 - April 25, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 18, 1994 - April 25, 1996
EQUITABLE ADVISORS, LLC
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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
