Richard J. Lavery
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.
Richard Joseph Lavery was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 1, Series 26 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2006 - April 6, 2021
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
September 25, 2000 - March 8, 2005
TEACHERS PERSONAL INVESTORS SERVICES, INC.
April 15, 1987 - September 11, 2000
LEXINGTON FUNDS DISTRIBUTOR, INC.
January 22, 1986 - March 24, 1987
EULAV SECURITIES, INC.
November 13, 1979 - September 26, 1985
GUARDIAN INVESTOR SERVICES 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 11/5/1979
Registered Representative ExaminationCurrent Firm
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
