Laura Lewis-nesbitt
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.
Laura Lewis-nesbitt, who also goes by Laura Lewis, Laura Lewisnesbitt, Laura Nesbitt, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1985. Laura had worked at 8 firms and has passed the Series 63, Series 99TO, SIE 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
December 7, 2021 - November 27, 2023
PERSHING ADVISOR SOLUTIONS LLC
June 10, 2013 - November 27, 2023
PERSHING LLC
June 13, 2000 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 1996 - July 14, 1998
SUMMIT FINANCIAL SERVICES GROUP, INC.
August 20, 1993 - May 25, 1994
UJB DISCOUNT BROKERAGE CO.
November 3, 1992 - March 18, 1993
UJB DISCOUNT BROKERAGE CO.
May 21, 1990 - December 30, 1990
CADARET, GRANT & CO., INC.
December 26, 1986 - June 2, 1988
GLICKENHAUS & CO. - NEW JERSEY
April 27, 1985 - December 26, 1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
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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