Kyle A. Pecha
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.
Kyle Allen Pecha was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 2006. Kyle had worked at 3 firms and has passed the Series 63, SIE, Series 99TO, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2023 - April 17, 2023
LAZARD FRERES & CO. LLC
June 19, 2008 - January 13, 2023
LAZARD MIDDLE MARKET LLC
December 10, 2007 - October 9, 2008
LAZARD FRERES & CO. LLC
November 17, 2006 - September 30, 2009
GOLDSMITH, AGIO, HELMS SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 11/16/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
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.
