Blake C. Fugger
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.
Blake Christian Fugger was a registered financial professional .
Blake is a previously registered financial professional and started their career in finance in 2004. Blake had worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - July 7, 2011
LAVAFLOW, INC.
January 30, 2008 - August 5, 2019
CITI ORDER ROUTING AND EXECUTION, LLC
December 9, 2004 - January 31, 2023
CITIGROUP GLOBAL MARKETS INC.
November 29, 2004 - December 9, 2004
KNIGHT EXECUTION PARTNERS LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/14/2010
Limited Representative-Equity Trader ExamCurrent Firm
LAVAFLOW, INC.
CRD#: 120444 / SEC#: , 8-65299
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| KEEGAN, DANIEL LAURENCE | DIRECTOR | 2756125 |
| MAKKER, SANJAY | DIRECTOR | 5018074 |
| PROCOPION, JOHN CONSTANTINE | PRESIDENT | 2760137 |
| PROCOPION, JOHN CONSTANTINE | CHIEF OPERATING OFFICER | 2760137 |
| SALIBA, RAMSEY | CFO / FINOP | 5358958 |
| SMITH, AZIBO ABDUL | VICE PRESIDENT | |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
Disclosures
| Regulatory Event | 9 |
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.
