Verlene M. Claiborn
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.
Verlene Merl Claiborn, who also goes by Verlene Merl Claiborne, Verlene Merl Waggoner, Verlene Waggoner, was a registered financial professional .
Verlene is a previously registered financial professional and started their career in finance in 1985. Verlene had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
July 6, 2004 - November 29, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 30, 2004 - November 29, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 16, 2003 - June 30, 2004
OSAIC WEALTH, INC.
May 13, 2002 - June 13, 2003
OSAIC WEALTH, INC.
November 19, 1989 - June 13, 2003
OSAIC WEALTH, INC.
October 5, 1988 - December 31, 2003
IDAHO FINANCIAL CONSULTANTS
June 10, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 19, 1985 - July 27, 1985
WADDELL & REED
June 19, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 19, 1985 - July 7, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
