Lorn C. Duff
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.
Lorn Charles Duff was a registered financial professional .
Lorn is a previously registered financial professional and started their career in finance in 1983. Lorn had worked at 7 firms and has passed the Series 63, Series 6 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
March 23, 2011 - December 31, 2011
HBW SECURITIES LLC
October 20, 2009 - March 11, 2011
PACKERLAND BROKERAGE SERVICES, INC.
March 8, 2006 - October 20, 2009
HBW SECURITIES LLC
April 12, 2002 - March 1, 2006
WORLD GROUP SECURITIES, INC.
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
December 11, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 8, 1991 - November 22, 1993
INVESTORS BROKERAGE SERVICES, INC.
June 14, 1983 - October 14, 1991
PFS INVESTMENTS 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
HBW SECURITIES LLC
CRD#: 136959 / SEC#: , 8-67056
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HBW INSURANCE AND FINANCIAL SERVICES INC. | OWNER | |
| BONANNO, JOSEPH ANTHONY JR. | CHIEF OPERATING OFFICER & CFO | 1907829 |
| BROERSMA, JOEL DARRIN | OWNER/SHAREHOLDER | 2779679 |
| BROWN, MICHAEL OWEN | FINOP | 1658070 |
| COWEN, LOUISE APRIL | PRINCIPAL | 4914680 |
| HELLENBRAND, BARNETT DAVID | CEO/PRESIDENT | 1141518 |
| LINDER, SARAH BETH | CHIEF COMPLIANCE OFFICER | 5084656 |
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.
