Lauren A. Providence
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.
Lauren Anita Providence, who also goes by Lauren Anita Chaplin, Lauren Anita Chaplinprovidence, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1987. Lauren had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 1989 - June 19, 1989
A. T. BROD & CO. INC.
March 22, 1988 - January 9, 1989
GIBBONS HESTER PROVIDENCE INC
January 29, 1987 - July 22, 1987
DANIELS & BELL, 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
Current Firm
A. T. BROD & CO. INC.
CRD#: 1319 / SEC#: , 8-31866
Contact information
Documents
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.
