Lawrence R. Traficante
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.
Lawrence Rocco Traficante, who also goes by Larry R Traficante Jr, Larry Rocco Traficante, Lawrence R Traficante Jr, Lawrence Rocco Traficante Jr, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1997. Lawrence had worked at 6 firms and has passed the Series 63, 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
June 14, 2012 - October 15, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 1, 2006 - June 14, 2010
TAFFERER TRADING, LLC
July 19, 2004 - August 31, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
December 11, 1998 - February 8, 2002
SCHONFELD SECURITIES, LLC
September 29, 1997 - January 30, 1998
METROPOLITAN LIFE INSURANCE COMPANY
September 29, 1997 - January 30, 1998
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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: 7/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
