Otis F. Travis
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.
Otis Forrest Travis JR, who also goes by Forrest Otis Travis Jr, Otis Forrest Travis, was a registered financial professional .
Otis is a previously registered financial professional and started their career in finance in 1982. Otis had worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 2, Series 3, PC, Series 1, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2007 - September 17, 2010
QUASAR DISTRIBUTORS, LLC
January 1, 2000 - January 4, 2005
ALLEN C. EWING & CO.
March 13, 1996 - January 1, 2000
CAPITAL RESEARCH CORPORATION
July 31, 1993 - February 17, 1995
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
February 12, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/17/2000
Limited Representative-Equity Trader ExamSeries 2
Date: 11/9/1994
Non-Member General Securities ExaminationPC
Date: 2/23/1982
AMEX Put and Call ExamSeries 1
Date: 5/14/1968
Registered Representative ExaminationCurrent Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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