Lauren A. Ferrante
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 Anne Ferrante was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1983. Lauren had worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 53, Series 27, Series 4 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
February 8, 2017 - January 10, 2024
CORECAP INVESTMENTS, LLC
November 23, 1990 - February 6, 2017
L&M FINANCIAL SERVICES
April 11, 1990 - November 23, 1990
FINANCIAL AMERICA SECURITIES, INC.
July 9, 1984 - April 12, 1990
XTENT FINANCIAL GROUP, INC.
February 24, 1983 - July 13, 1984
QUICK & REILLY, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
