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Ryan C. Cournoyer

Some features on this profile are disabled
CRD#: 4035382
RC

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.

Ryan Christopher Cournoyer was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 1999. Ryan had worked at 12 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 26, 2014 - April 27, 2015

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

May 13, 2013 - June 4, 2014

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

February 13, 2012 - January 2, 2013

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

August 30, 2010 - January 4, 2012

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

December 24, 2008 - August 18, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

August 18, 2008 - January 6, 2009

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

January 21, 2005 - February 1, 2006

INSTITUTIONAL DIRECT INC.

BD
CRD#: 23019
NEW YORK, NY
Past

January 21, 2005 - July 17, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 3, 2003 - December 13, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

January 28, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 9, 2000 - October 15, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 23, 1999 - February 24, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

BD
CRD#: 34925
SAN FRANCISCO, CA

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: 12/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/27/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/22/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/22/1999
General Securities Representative Examination

Current Firm

LS
LEK SECURITIES CORPORATION
LEK SECURITIES CORPORATION | LEK, SCHOENAU & CO., INC.

CRD#: 33135 / SEC#: , 8-42152

BD
Terminated by SEC on 03/10/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/05/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LEK SECURITIES HOLDINGS LIMITEDSHAREHOLDER
LEK, CHARLES FREDERIKCHIEF EXECUTIVE OFFICER4672129
LEK, CHARLES FREDERIKCHIEF COMPLIANCE OFFICER4672129
MINOGUE, KRISTOPHER JAMESPRINCIPAL FINANCIAL OFFICER; FINOP5031647

Disclosures

Regulatory Event42
Civil Event1
Arbitration1

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

LEK SECURITIES CORPORATION

CRD#: 33135

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