Kathleen E. Lazarou
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.
Kathleen Elizabeth Lazarou was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2013 - September 25, 2015
SEQUENCE FINANCIAL SPECIALISTS LLC
March 29, 2011 - December 31, 2012
STARLIGHT FUNDING INVESTMENTS, LLC
January 23, 1986 - March 24, 1987
ROTAN MOSLE INC.
December 17, 1984 - January 11, 1985
FINANCIAL SQUARE PARTNERS
April 18, 1984 - January 7, 1985
ACI SECURITIES,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
SEQUENCE FINANCIAL SPECIALISTS LLC
CRD#: 132915 / SEC#: , 8-66657
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
