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AW

Audrey L. Weathers

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CRD#: 1207015
AW

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.

Audrey Lynnette Weathers was a registered financial professional .

Audrey is a previously registered financial professional and started their career in finance in 1983. Audrey had worked at 1 firm and has passed the Series 63, Series 15, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 23, 1983 - July 29, 1987

LEHMAN BROTHERS INC.

BD
CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 15
Date: 2/1/1984
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/30/1983
National Commodity Futures Examination

Current Firm

LB
LEHMAN BROTHERS INC.
LEHMAN BROTHERS | SHEARSON/AMERICAN EXPRESS INC. | SHEARSON LOEB RHOADES INC. | SHEARSON LEHMAN/AMERICAN EXPRESS INC. | SHEARSON LEHMAN HUTTON INC. | SHEARSON LEHMAN BROTHERS INC. | LEHMAN BROTHERS, INC. | LEHMAN BROTHERS MARKET MAKERS | LEHMAN BROTHERS INC.

CRD#: 7506 / SEC#: , 8-12324

BD
Cancelled by SEC on 12/07/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/21/1965
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEHMAN BROTHERS HOLDINGS INC.SOLE SHAREHOLDER
CLARK, HOWARD LONGSTRETH JRDIRECTOR47587
CRUIKSHANK, THOMAS HENRYDIRECTOR4708135
FREIDHEIM, SCOTT JONCO-CHIEF ADMINISTRATIVE OFFICER1766230
FULD, RICHARD SEVERIN JRDIRECTOR/CHAIRMAN AND CEO215527
LOWITT, IAN THEOCO-CHIEF ADMINISTRATIVE OFFICER4210205
MCDADE III, HERBERT H.PRESIDENT AND CHIEF OPERATING OFFICER1185218
RUSSO, THOMAS ANTHONYCHIEF LEGAL OFFICER3188169

Disclosures

Regulatory Event359
Civil Event1
Arbitration527

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.

Company Information

LEHMAN BROTHERS INC.

CRD#: 7506

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