Carlos J. Lazaro-rivera
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.
Carlos Javier Lazaro-rivera was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2001. Carlos had worked at 5 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2013 - March 28, 2014
KOVACK SECURITIES INC.
January 27, 2010 - October 25, 2011
ORIENTAL FINANCIAL SERVICES LLC
February 17, 2009 - March 25, 2009
UNIVERSAL FINANCIAL SERVICES INC.
October 19, 2006 - November 17, 2008
CETERA WEALTH SERVICES, LLC
December 12, 2003 - June 2, 2006
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
December 4, 2001 - August 20, 2002
ORIENTAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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