Angelo A. Lafalce
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.
Angelo Anthony Lafalce JR, who also goes by Angelo Anthony Lafalce, was a registered financial professional .
Angelo is a previously registered financial professional and started their career in finance in 1978. Angelo had worked at 10 firms and has passed the Series 63, SIE, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2012 - March 10, 2017
NATIONAL SECURITIES CORPORATION
January 1, 2002 - December 20, 2012
VFINANCE INVESTMENTS, INC
January 29, 1999 - January 1, 2002
FIRST COLONIAL SECURITIES
September 11, 1998 - December 9, 1998
ROBERT THOMAS SECURITIES, INC
April 24, 1992 - September 23, 1998
FIRST COLONIAL SECURITIES
January 6, 1992 - February 24, 1992
LEHMAN BROTHERS INC.
October 7, 1988 - January 8, 1992
UBS FINANCIAL SERVICES INC.
March 2, 1987 - October 15, 1988
CITIGROUP GLOBAL MARKETS INC.
September 9, 1983 - March 27, 1987
E. F. HUTTON & COMPANY INC
January 29, 1981 - November 10, 1983
ADVANTAGE CAPITAL CORPORATION
March 27, 1978 - February 20, 1980
SUN LIFE FINANCIAL DISTRIBUTORS, 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 1
Date: 3/20/1978
Registered Representative ExaminationSeries 2
Date: 4/2/1974
Non-Member General Securities ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
