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JL

James T. Lafaman

Some features on this profile are disabled
CRD#: 2870861
JL

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.

James Thomas Lafaman, who also goes by Jim T Lafaman, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1997. James had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim T Lafaman

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

October 3, 2012 - August 28, 2013

LODESTAR SECURITIES CORP.

BD
CRD#: 159532
NEW YORK, NY
Past

December 1, 2009 - January 11, 2012

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

September 27, 2002 - May 1, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 16, 1997 - October 14, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
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

State Security Law Exam
RR
Series 63
Date: 11/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/21/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/7/2001
Financial and Operations Principal Examination

Current Firm

LS
LODESTAR SECURITIES CORP.
LODESTAR SECURITIES CORP.

CRD#: 159532 / SEC#: , 8-68994

BD
Terminated by SEC on 08/15/2016
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/05/2011
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PI3 HOLDINGS, CORP.PARENT COMPANY
KLEDARAS, GEORGE NICHOLASMEMBER OF BOARD OF DIRECTORS2670946
LAFAMAN, JAMES THOMASMEMBER OF BOARD OF DIRECTORS2870861
WISHNIVETSKI, ELICCO, COUNSEL4424907

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.

Company Information

LODESTAR SECURITIES CORP.

CRD#: 159532

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