Laurie F. Foster
Professional summary
Laurie Flynn Foster was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Laurie is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Laurie had worked at 7 firms, which includes UNITED CAPITAL MARKETS INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, SECURITIES SERVICE NETWORK LLC, MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 1996 - October 24, 1996
UNITED CAPITAL MARKETS, INC.
February 1, 1996 - July 26, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 1, 1993 - February 9, 1996
SECURITIES SERVICE NETWORK, LLC
September 30, 1992 - October 29, 1993
MORGAN STANLEY DW INC.
July 17, 1990 - March 23, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - August 3, 1990
LEHMAN BROTHERS INC.
March 25, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 15, 1984 - May 26, 1987
MORGAN STANLEY DW INC.
August 23, 1983 - October 19, 1983
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
UNITED CAPITAL MARKETS, INC.
CRD#: 40980 / SEC#: , 8-49253
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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