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Laszlo Batthyany Torzsok Jr

CRD# 448352·Registered 1974 - 2011
Previously Registered: Being a previously registered professional could mean that Laszlo 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.

Professional Summary

Laszlo Batthyany Torzsok JR, who also goes by Laszlo Batthyana Torzsok Jr, Laszlo Batthyany Torzsok, Les Torzsok, was a registered financial advisor. Laszlo was a previously registered financial advisor and started their career in finance 1974 - 2011. Laszlo had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Laszlo Batthyana Torzsok Jr, Laszlo Batthyany Torzsok, Les Torzsok

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

52 years in the financial services industry

Current & Past Employments

FINTEGRA, LLC·CRD# 16741
RIA
Mayfield Heights, OH
March 13, 2009 - September 22, 2011
FINTEGRA, LLC·CRD# 16741
BD
Mayfield Heights, OH
March 2, 2009 - September 22, 2011
SANDERS MORRIS LLC·CRD# 20580
RIA
Beachwood, OH
June 28, 2006 - March 5, 2009
SMH CAPITAL ADVISORS LLC·CRD# 108344
RIA
Weatherford, TX
January 17, 2006 - December 31, 2006
SANDERS MORRIS LLC·CRD# 20580
BD
Beachwood, OH
January 17, 2006 - March 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Cleveland, OH
March 23, 2001 - January 23, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Cleveland, OH
March 23, 2001 - January 23, 2006
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
February 22, 2001 - March 26, 2001
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
July 1, 1998 - October 19, 2000
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
August 6, 1987 - July 1, 1998
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
May 19, 1978 - August 3, 1987
KIDDER, PEABODY & CO., INCORPORATED·CRD# 488
BD
May 26, 1977 - May 19, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.·CRD# 572
BD
January 1, 1974 - June 17, 1977

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Current Firm

FL
FINTEGRA, LLC

FINTEGRA FINANCIAL SOLUTIONS | PARK INVESTMENT CORPORATION | JM PARK, INC. | FINTEGRA, LLC

CRD#: 16741 / SEC#: 801-56275, 8-34434
BD
Cancelled by SEC on 10/26/2016

Contact Information

Established

Minnesota since 10/22/1998

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

2015 FIRM BROCHURE (3/31/2015)

Direct owners and executive officers

NamePositionCRD#
FINTEGRA HOLDINGS, LLCSHAREHOLDERS—
CAURRO, STEPHEN ANTHONYBOARD OF DIRECTORS5845813
CONNER, DANIELBOARD OF DIRECTORS—
SCHMITZ, DOUGLAS GENEBOARD OF DIRECTORS1771132
SCHUH, JEFFREY ALLENCHIEF FINANCIAL OFFICER, FINOP1036839
WALTER, KENNETH JOHNBOARD OF DIRECTORS5845803
WEBER, DOREEN LEAPRESIDENT/CEO/CCO1368639

Disclosures

Regulatory Event

4

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2001About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1986About the Series 63 exam

PC — AMEX Put and Call Exam

Passed Sep 1977

Series 1 — Registered Representative Examination

Passed Dec 1973

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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