Auri G. Laflor
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.
Auri G Laflor, who also goes by Auri G Tejada, Auri Gertrudis Tejada, Auri Tejada, was a registered financial professional .
Auri is a previously registered financial professional and started their career in finance in 2012. Auri had worked at 12 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2019 - May 27, 2020
CFWP SECURITIES, LLC
August 7, 2019 - July 31, 2020
SUNRISE BROKERS LLC
August 7, 2019 - July 31, 2020
MINT BROKERS
August 7, 2019 - July 31, 2020
GFI SECURITIES LLC
August 7, 2019 - July 31, 2020
FMX EXECUTION, LLC
August 7, 2019 - July 31, 2020
CF SECURED, LLC
August 7, 2019 - July 31, 2020
CASTLEOAK SECURITIES, LP
August 7, 2019 - July 31, 2020
BGC FINANCIAL, L.P.
August 7, 2019 - July 31, 2020
AQUA SECURITIES L.P.
December 3, 2018 - July 31, 2020
CANTOR FITZGERALD & CO.
March 16, 2018 - November 27, 2018
DEUTSCHE BANK SECURITIES INC.
October 16, 2012 - December 15, 2017
NATIXIS SECURITIES AMERICAS 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
Current Firm
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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