Marie T. Lalor-brown
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 Theresa Lalor-brown, who also goes by Marie Lalor Brown, Marie Theresa Lalor, Marie Theresa Lalor - Brown, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1983. Marie had worked at 9 firms and has passed the Series 65, Series 63, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2011 - April 19, 2012
FIFTH THIRD SECURITIES, INC.
March 22, 2011 - April 19, 2012
FIFTH THIRD SECURITIES, INC.
April 28, 2006 - March 15, 2011
INVESTACORP ADVISORY SERVICES INC
April 19, 2006 - March 14, 2011
INVESTACORP, INC.
September 16, 2002 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 2002 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2001 - September 24, 2002
J.P. MORGAN SECURITIES LLC
March 26, 2001 - September 24, 2002
J.P. MORGAN SECURITIES LLC
January 23, 1995 - April 3, 2001
CIBC WORLD MARKETS CORP.
April 20, 1990 - January 25, 1995
A. G. EDWARDS & SONS, INC.
February 25, 1987 - May 4, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 21, 1983 - March 2, 1987
GRADISON & COMPANY INCORPORATED
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
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 15
Date: 12/29/1988
Foreign Currency Options ExaminationCurrent Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
