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LS

Lany S. Segal

Some features on this profile are disabled
CRD#: 4415063
LS

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.

Lany Simon Segal, who also goes by Simon Segal, was a registered financial professional .

Lany is a previously registered financial professional and started their career in finance in 2001. Lany had worked at 14 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Simon Segal

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

May 30, 2013 - November 25, 2013

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

March 19, 2012 - September 18, 2012

GLOBAL EMERGING CAPITAL GROUP, LLC

BD
CRD#: 130120
NEW YORK, NY
Past

January 18, 2012 - March 15, 2012

OLSON, CROSS & ALAMO LLC

BD
CRD#: 157249
BROOKLYN, NY
Past

April 15, 2010 - January 9, 2012

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
HACKENSACK, NJ
Past

March 2, 2010 - March 23, 2010

AVALON PARTNERS, INC.

BD
CRD#: 41357
NEW YORK, NY
Past

September 15, 2009 - February 24, 2010

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
NEW YORK, NY
Past

May 14, 2009 - July 15, 2009

RICHFIELD ORION INTERNATIONAL, INC.

BD
CRD#: 24433
CASTLE ROCK, CO
Past

December 1, 2008 - March 5, 2009

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
LAKELAND, FL
Past

July 30, 2008 - October 13, 2008

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

June 11, 2007 - August 19, 2008

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

February 9, 2007 - May 11, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
NEW YORK, NY
Past

May 2, 2005 - December 4, 2006

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
NEW YORK, NY
Past

June 17, 2003 - May 20, 2005

NEW YORK GLOBAL SECURITIES, INC.

BD
CRD#: 46429
NEW YORK, NY
Past

August 16, 2001 - June 25, 2003

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA

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: 9/4/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2001
General Securities Representative Examination

Current Firm

LS
LEGEND SECURITIES, INC.
LEGEND SECURITIES, INC. | SPC SECURITIES, INC. | MARLIN TRADING, INC.

CRD#: 44952 / SEC#: , 8-50886

BD
Postponed Effective by SEC on 01/19/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 01/29/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK, INC.SHARE OWNER

Disclosures

Regulatory Event22
Arbitration14

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

LEGEND SECURITIES, INC.

CRD#: 44952

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