Marie M. Lalondeking
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.
Marie Margaret Lalondeking, who also goes by Marie Margaret King, Marie M Lalonde, Marie Margaret Lalonde, Marie Margaret Phua, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1994. Marie had worked at 9 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
May 7, 2008 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
May 7, 2008 - August 28, 2012
OSAIC SERVICES, INC.
May 7, 2008 - August 28, 2012
FSC SECURITIES CORPORATION
July 24, 2003 - August 28, 2012
OSAIC WEALTH, INC.
July 13, 2001 - July 29, 2003
ESSEX NATIONAL SECURITIES, LLC
January 21, 1998 - April 18, 2001
GRUNTAL & CO., L.L.C.
January 9, 1998 - January 14, 1998
BLUESTONE CAPITAL CORP.
November 15, 1994 - September 29, 1997
CIBC WORLD MARKETS CORP.
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
AMERICAN GENERAL SECURITIES INCORPORATED
CRD#: 13626 / SEC#: , 8-29542
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| AULD, JEFFREY MICHAEL | PRESIDENT, CEO | 857528 |
| BROWN, JAMES BURKE | SENIOR VICE PRESIDENT | 1664825 |
| DENBY, SUSANNE MARIE | FIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| HARRELL, JERI MICHELLE | ASSISTANT VICE PRESIDENT, PRODUCT SALES AND MARKETING | |
| HOLLAR, RICHARD ALLEN | DIRECTOR | 248628 |
| LONG, CRAIG MCCUTCHEON | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1406115 |
| NIXON, CHRISTINE | DIRECTOR | |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT | 2587496 |
| ROTHSTEIN, STEVEN ELLIOT | CHIEF FINANCIAL OFFICER, DIRECTOR | 1292456 |
| SORKIN, NOAH DAVID | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 1832767 |
| TUCK, ELIZABETH MARGARET | ASSISTANT SECRETARY | 4075693 |
| WILLIAMS, DANIEL ONIEL | VICE PRESIDENT, TREASURER | |
| WINTER, MATTHEW EVAN | DIRECTOR | 2598136 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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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