YL

Yann Lalande

PR
yann joseph lalande
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Yann Lalande, who also goes by Yann Joseph Lalande, was a registered financial professional.

Yann is a previously registered financial professional and started their career in finance in 2000. Yann had worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.

As of 07 Aug 2012, Yann Lalande is no longer a registered financial professional with FINRA or the SEC.

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Disclosures
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Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
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Advisor Information

ADVISOR PROFILE
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (0)
SRO REGISTRATIONS (0)
FAQS
WHAT DOES BEING PREVIOUSLY REGISTERED MEAN?
WHAT IF THIS PERSON APPROACHED ME ABOUT FINANCIAL PRODUCTS AND SERVICES?
CAN A PREVIOUSLY REGISTERED FINANCIAL ADVISOR SELL ME INSURANCES OR ANNUITIES?
COULD THIS FINANCIAL ADVISOR ACTUALLY BE REGISTERED AND THE INFORMATION IS NOT SHOWING CORRECTLY?
WHAT SHOULD I REVIEW IN REGARDS TO THIS PREVIOUSLY REGISTERED FINANCIAL ADVISOR REGARDLESS OF THEIR STATUS?

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYER
PREVIOUS EMPLOYERS (6)
BD
BARCLAYS CAPITAL INC. (#19714)
7/21/2011 - 8/7/2012
New York, NY
BD
MORGAN STANLEY & CO. LLC (#8209)
5/14/2010 - 6/14/2011
New York, NY
BD
COWEN PRIME SERVICES TRADING LLC (#23857)
4/27/2009 - 4/8/2010
New York City, NY
BD
MORGAN STANLEY MARKET PRODUCTS INC. (#19794)
4/23/2008 - 10/30/2008
New York, NY
BD
MORGAN STANLEY & CO. LLC (#8209)
1/4/2008 - 4/27/2009
New York, NY
BD
PFS INVESTMENTS INC. (#10111)
12/4/2000 - 4/1/2003
Duluth, GA
YL
Claim Profile

Yann Lalande

PR
Experience: 22 years / 5 firms
CRD#: 4219648
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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As featured in Usnews
As featured in USA Today
Los Angeles Times logo
inc logo
As featured in Financial Planning
As featured in InvestmentNews
As featured in Financial Advisor Magazine
inc logo
Citywire logo
BuiltinLA logo
PlanAdviser logo
Los Angeles Business Journal logo

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