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Craig S. Lax

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CRD#: 2704397
CL

Professional summary

Craig Steven Lax was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Craig is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Craig had worked at 7 firms, which includes COWEN EXECUTION SERVICES LLC, G-TRADE SERVICES LLC, PERSHING LLC, BNY DIRECT EXECUTION INC., BNY CLEARING SERVICES LLC, CREDIT AGRICOLE SECURITIES (USA) INC., BBVA SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Craig Stephen Lax

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

May 22, 2013 - December 10, 2013

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

October 25, 2006 - December 10, 2013

G-TRADE SERVICES LLC

BD
CRD#: 140314
NEW YORK, NY
Past

May 3, 2004 - November 9, 2006

PERSHING LLC

BD
CRD#: 7560
NEW YORK, NY
Past

January 2, 2004 - May 10, 2004

BNY DIRECT EXECUTION INC.

BD
CRD#: 29598
NEW YORK, NY
Past

March 4, 2002 - December 19, 2003

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

July 6, 1999 - February 13, 2002

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

March 11, 1999 - April 12, 1999

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, 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

General Industry/Product Exam
RR
Series 7
Date: 3/10/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/1999
General Securities Principal Examination

Current Firm

CE
COWEN EXECUTION SERVICES LLC
BNY BROKERAGE INC. | ESI SECURITIES COMPANY | COWEN EXECUTION SERVICES LLC | CONVERGEX EXECUTION SOLUTIONS LLC | BNY ESI & CO., INC. | BNY CONVERGEX EXECUTION SOLUTIONS LLC | BNY BROKERAGE LLC

CRD#: 35693 / SEC#: 801-67167, 8-46838

BD
Terminated by SEC on 07/03/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CONVERGEX EXECUTION SOLUTIONS LLC (4/1/2013)

Direct owners and executive officers

NamePositionCRD#
COWEN EXECUTION HOLDCOMEMBER
CHARNEY, DANIEL S.CHIEF EXECUTIVE OFFICER2158255
EADS, MARK BREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP2942874
HOLMES, JOHNPRINCIPAL OPERATIONS OFFICER1281617
KAPLAN, GARY MITCHELLMUNICIPAL PRINCIPAL
LUPKIN, IRA ADAMPRINCIPAL FINANCIAL OFFICER4463446
MESSINGER, LINDA LOUISECHIEF COMPLIANCE OFFICER2561401

Disclosures

Regulatory Event29

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

COWEN EXECUTION SERVICES LLC

CRD#: 35693

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