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LA

Lawrence J. Alfano

Some features on this profile are disabled
CRD#: 2701389
LA

Professional summary

Lawrence Joseph Alfano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lawrence is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Lawrence had worked at 10 firms, which includes BLACKBOOK CAPITAL LLC, EKN FINANCIAL SERVICES INC., ITRADEDIRECT.COM CORP, FIRST MIDWEST SECURITIES INC., PRESTIGE FINANCIAL CENTER INC., GUNNALLEN FINANCIAL INC, HARRISON SECURITIES INC., SEABOARD SECURITIES INC., LADENBURG CAPITAL MANAGEMENT INC., H G I.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Joe Alfano | Larry Alfano | Lawrence J Alfano

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

August 16, 2010 - September 4, 2012

BLACKBOOK CAPITAL, LLC

BD
CRD#: 123234
NORTHPORT, NY
Past

April 30, 2010 - August 6, 2010

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
FARMINGVILLE, NY
Past

October 13, 2008 - May 4, 2010

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
FARMINGVILLE, NY
Past

September 2, 2008 - October 21, 2008

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BLOOMINGTON, IL
Past

May 20, 2008 - August 20, 2008

ITRADEDIRECT.COM CORP

BD
CRD#: 18281
SELDEN, NY
Past

April 3, 2007 - May 5, 2008

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
GARDEN CITY, NY
Past

February 2, 2004 - April 13, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
HAUPPAUGE, NY
Past

April 26, 2002 - March 4, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

April 21, 1998 - May 16, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ
Past

June 30, 1997 - May 21, 1998

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

June 3, 1996 - July 1, 1997

H G I

BD
CRD#: 14079
JERICHO, NY

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: 3/20/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/1996
General Securities Representative Examination

Current Firm

BC
BLACKBOOK CAPITAL, LLC
BLACKBOOK CAPITAL LLC | PHOENIX SECURITIES, INC. | FRANKLIN CHRISTOPHER INVESTMENTS LLC | FRANKLIN CHRISTOPHER INVESTMENT BANKERS, INC. | ET SECURITIES, INC. | BLACKBOOK CAPITAL, LLC | BLACKBOOK CAPITAL, INC.

CRD#: 123234 / SEC#: , 8-65577

BD
Terminated by SEC on 08/20/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/10/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OGELE, FRANKLIN IHENDUCEO, PRESIDENT, FINOP, CCO2197820
APEX HOMES, INCMEMBER

Disclosures

Regulatory Event4
Arbitration1
Judgment/Lien1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BLACKBOOK CAPITAL, LLC

CRD#: 123234

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