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LR

La-yona C. Rauls

MISCHLER FINANCIAL GROUP
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 2973750
LR

Professional summary

La-yona Capri Rauls, who also goes by Layona Capri Ledbetter, Layona Capri Rauls, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Irvine, California.

La-yona is registered as a RR (Registered Representative) and started their career in finance in 1997. La-yona has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Layona Capri Ledbetter | Layona Capri Rauls

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) - BD

Click below to view La-yona Capri Rauls's CRS (Customer Relationship Summary).

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

Current

October 28, 2019 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
BD
CRD#: 37818
Irvine, CA
Past

May 10, 2019 - October 29, 2019

BOFA SECURITIES, INC.

BD
CRD#: 283942
SAN FRANCISCO, CA
Past

November 1, 2010 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

April 10, 2000 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
SAN FRANCISCO, CA
Past

October 1, 1998 - July 13, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

December 16, 1997 - October 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/13/2021)
RR
California
(10/28/2019)
RR
Colorado
(3/2/2023)
RR
Connecticut
(7/13/2021)
RR
Delaware
(1/27/2025)
RR
District of Columbia
(7/13/2021)
RR
Florida
(11/1/2019)
RR
Georgia
(1/21/2021)
RR
Idaho
(1/21/2021)
RR
Illinois
(7/13/2021)
RR
Maryland
(5/8/2025)
RR
Nevada
(10/29/2019)
RR
New Jersey
(3/2/2023)
RR
New York
(1/21/2021)
RR
Oregon
(3/2/2023)
RR
Pennsylvania
(3/2/2023)
RR
Texas
(1/21/2021)
RR
Washington
(3/2/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/26/2005
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/3/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/19/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Irvine, CA 92612

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