- Lara, May & Associates, LLC (“LMA”) is a broker/dealer member of the Financial Industry Regulatory Authority, Inc (FINRA) and a registered investment advisor with the U.S. Securities and Exchange Commission (“SEC”)1. To review of copy of the FINRA Manual, click here. LMA is also registered with the Municipal Securities Rulemaking Board’s (“MSRB”). To access a copy of the MSRB manual go to msrb.org. Access to the manuals is available at the Falls Church, Va. and Frisco, Colo. branch locations.
- Lara, May & Associates, LLC is a fully disclosed, introducing broker/dealer clearing through First Clearing – First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.
- LMA and individuals acting in the capacity as either a broker agent, investment advisor representative or insurance agent only transact business with a state resident after licensure or satisfying the qualification requirements of that state, or if they are excluded or exempted from the state’s requirements, as the case may be. For information concerning the license status or disciplinary history of a broker-dealer firm or individual broker agent go to FINRA BrokerCheck .
- Lara, May & Associates, LLC, Member of the Securities Investor Protection Corporation (SIPC). Securities in your account protected up to $500,000. To obtain information about SIPC call SIPC at (202)371-8300 or visit sipc.org
- The SEC Rule 606 requires broker-dealers that route orders in certain equity and option securities to make available quarterly reports that present a general overview of their routing practices. As an introducing broker-dealer, Lara, May & Associates, LLC utilizes the trade execution services of its clearing firm, First Clearing1 whose order routing statistics are viewable here. Routing reports for Charles Schwab are available here. Routing reports for Fidelity are available here.
- ERISA DISCLOSURE. In accordance with the Section 408(b)(2) Final Rule, Lara, May & Associates, LLC (“LMA”) is providing the applicable disclosures below. As LMA is a dually registered investment advisor and broker/dealer, we are able to offer ERISA plans in a variety of structures suited towards your needs and cost concerns. Please view the appropriate disclosure as it pertains to your plan’s structure. If you have any questions please contact your representative or submit an inquiry to email@example.com.
7. Lara, May & Associates, LLC’s ADV (including the Part 2 Brochure and WRAP Brochure) are available through the SEC’s Investment Advisor Public Disclosure (“IAPD”) website.
NOTE: The disclosures on this website may be updated periodically as required. Please check this website often for any updates.
1LMA is a Registered Investment Adviser with the SEC. Registration of an Investment Adviser does not imply any level of skill or training.
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