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Patrick W. Lofaro

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CRD#: 2502145
PL

Professional summary

Patrick William Lofaro was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Patrick William Lofaro, who also goes by Patrick Lofaro, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1995. Patrick had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick Lofaro

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

November 16, 2012 - November 17, 2014

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

July 2, 2012 - November 19, 2012

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
FARMINGDALE, NY
Past

January 23, 2009 - July 20, 2012

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
FARMINGDALE, NY
Past

October 23, 2008 - January 23, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
MELVILLE, NY
Past

January 28, 2003 - July 29, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 28, 2003 - July 29, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

April 17, 2002 - September 6, 2002

DONALD & CO. SECURITIES INC.

BD
CRD#: 7776
TINTON FALLS, NJ
Past

January 16, 2001 - October 4, 2001

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

November 12, 1998 - January 23, 2001

MORGAN, TAYLOR & ASSOCIATES, INC.

BD
CRD#: 37447
MINEOLA, NY
Past

March 24, 1997 - October 22, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

November 26, 1996 - March 24, 1997

TIMECAPITAL SECURITIES CORPORATION

BD
CRD#: 6845
PORT JEFFERSON STATION, NY
Past

March 22, 1995 - November 26, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570

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: 1/8/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/17/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/2008
General Securities Representative Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

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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Company Information

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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