Prem Lalvani
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.
Prem Lalvani was a registered financial professional .
Prem is a previously registered financial professional and started their career in finance in 1999. Prem had worked at 7 firms and has passed the Series 63, Series 87, Series 86, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2010 - April 20, 2012
MCCLENDON, MORRISON & PARTNERS, INC.
March 31, 2008 - January 2, 2009
CIM SECURITIES, LLC
August 20, 2007 - March 3, 2008
TERRA NOVA FINANCIAL, LLC
September 14, 2004 - July 21, 2006
STANFORD GROUP COMPANY
June 4, 2004 - July 15, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
March 20, 2000 - May 3, 2001
WILLIAM BLAIR
February 25, 1999 - March 24, 2000
ADVEST, INC.
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
Series 55
Date: 4/24/2004
Limited Representative-Equity Trader ExamCurrent Firm
MCCLENDON, MORRISON & PARTNERS, INC.
CRD#: 14684 / SEC#: , 8-30141
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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