Trevor A. Lloyd
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.
Trevor Anthony Lloyd was a registered financial professional .
Trevor is a previously registered financial professional and started their career in finance in 1996. Trevor had worked at 5 firms and has passed the 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
November 2, 2012 - December 31, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
August 11, 2006 - November 1, 2012
NATIONAL PLANNING CORPORATION
March 7, 2005 - July 20, 2006
FIFTH THIRD SECURITIES, INC.
February 10, 2003 - February 23, 2005
BNY MELLON CAPITAL MARKETS, LLC
September 20, 1996 - November 15, 1999
FEDERATED SECURITIES CORP.
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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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