Cynthia L. Lauritsen
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.
Cynthia Lois Lauritsen was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1988. Cynthia had worked at 6 firms and has passed the Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 1998 - July 15, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 20, 1994 - July 17, 1998
NATIONAL PLANNING CORPORATION
February 5, 1993 - May 12, 1994
SECURITIES AMERICA, INC.
October 31, 1990 - January 1, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 31, 1990 - January 1, 1993
EQUITABLE ADVISORS, LLC
October 19, 1988 - January 23, 1989
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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