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TA

Tracey E. Anchundia

LLOYDS SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 6558978
TA

Professional summary

Tracey Everling Anchundia, who also goes by Tracey Anchundia, is a registered financial professional currently at LLOYDS SECURITIES located in New York, New York.

Tracey is registered as a RR (Registered Representative) and started their career in finance in 2015. Tracey has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tracey Anchundia

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tracey Everling Anchundia's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 17, 2019 - Present

LLOYDS SECURITIES

Office #1: 1095 Avenue Of The Americas, New York, NY 10036
BD
CRD#: 154515
New York, NY
Past

April 27, 2018 - July 16, 2019

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

December 23, 2015 - April 25, 2018

LLOYDS SECURITIES

BD
CRD#: 154515
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/17/2019)
RR
California
(7/17/2019)
RR
New York
(7/17/2019)
RR
Ohio
(7/17/2019)
RR
Oregon
(7/17/2019)
RR
Texas
(7/17/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/20/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/23/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LLOYDS SECURITIES
LLOYDS SECURITIES | LLOYDS SECURITIES INC.

CRD#: 154515 / SEC#: , 8-68647

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1095 Avenue Of The Americas, New York, NY 10036
Mailing Address
1095 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 450-0800
Established
Delaware since 03/11/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LLOYDS AMERICA SECURITIES CORPORATIONSHAREHOLDER-COMMON STOCK
CRAWFORD, SUSAN ADELAIDEHEAD OF RISK7415877
FALLAN, WESLEY ROBERTPRESIDENT OF LLOYDS SECURITIES6313069
HOUGHTON, ROSS ANDREWCHIEF FINANCIAL OFFICER, NA6493863
MANSFIELD, WILLIAM RENICK JRCEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA1398078
NADEL, MITCHELL NEILHEAD OF FINANCIAL MARKETS6157639
ROWLANDS, MARK KEITHPRINCIPAL FINANCIAL OFFICER & TREASURER6601550
SMITH, KELVINA MONIQUECHIEF LEGAL OFFICER, LSI7419693
STEINBERG, MICHAEL NMNCHIEF COMPLIANCE OFFICER1062776
TRYPHONIDES, NICHOLASPRINCIPAL OPERATIONS OFFICER (POO), SECRETARY6446246

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.

Company Information

LLOYDS SECURITIES

CRD#: 154515New York, NY 10036

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