Lynne J. Luby
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.
Lynne Josette Luby, CFP®, who also goes by Lynne J Luby, Lynne Mordaunt Luby, was a registered financial professional .
Lynne is a previously registered financial professional and started their career in finance in 1983. Lynne had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24 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
February 16, 2019 - March 24, 2021
FIRST CANTERBURY SECURITIES, INC.
February 26, 2018 - September 14, 2018
ISC ADVISORS, INC.
February 26, 2018 - September 14, 2018
INSTITUTIONAL SECURITIES CORPORATION
January 1, 2004 - December 31, 2017
CETERA ADVISORS LLC
January 1, 2004 - December 31, 2017
CETERA ADVISORS LLC
January 5, 1999 - September 26, 2024
LUBY ADVISORY SERVICES, LLC
April 24, 1992 - January 2, 2004
IFG NETWORK SECURITIES, INC.
March 17, 1989 - May 21, 1992
DERAND/PENNINGTON/BASS, INC.
June 9, 1988 - January 1, 2004
IFG ADVISORY SERVICES INC
January 8, 1985 - March 17, 1989
PENNINGTON/BASS EQUITIES, INC.
July 26, 1983 - January 10, 1985
CETERA WEALTH SERVICES, LLC
March 22, 1983 - August 15, 1983
SOUTHMARK FINANCIAL SERVICES, 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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
FIRST CANTERBURY SECURITIES, INC.
CRD#: 13121 / SEC#: , 8-29446
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JENNISON, RAYMOND ELLIS JR | CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER | 867502 |
Disclosures
| Regulatory Event | 5 |
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.
