Eugene K. Laff
Professional summary
Eugene Kolman Laff was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eugene is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Eugene had worked at 5 firms, which includes FIRST MERCHANTS ENTERPRISES INC., CARLYLE & CHRISTIE CAPITAL INC., AUSTIN DAVENPORT ASSOCIATES INC., CHAPDELAINE SECURITIES INC., HAAS SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1988 - May 26, 1988
FIRST MERCHANTS ENTERPRISES, INC.
July 28, 1984 - December 8, 1987
CARLYLE & CHRISTIE CAPITAL INC.
June 6, 1984 - August 27, 1984
AUSTIN, DAVENPORT ASSOCIATES, INC.
November 17, 1983 - March 21, 1984
FIRST MERCHANTS ENTERPRISES, INC.
November 17, 1983 - March 23, 1984
CHAPDELAINE SECURITIES, INC.
November 19, 1969 - November 24, 1987
HAAS SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 1
Date: 11/18/1963
Registered Representative ExaminationSeries 40
Date: 11/17/1969
Registered Principal ExaminationCurrent Firm
FIRST MERCHANTS ENTERPRISES, INC.
CRD#: 13527 / SEC#: , 8-29398
Contact information
Documents
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