Lauri L. Moss
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.
Lauri Lynn Moss, who also goes by Lauri Lynn Moss-greendorfer, was a registered financial professional .
Lauri is a previously registered financial professional and started their career in finance in 1986. Lauri had worked at 4 firms and has passed the 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
August 17, 2004 - January 4, 2006
SVB ALLIANT
November 14, 2002 - July 1, 2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
June 21, 2000 - May 11, 2001
EPOCH SECURITIES, INC.
February 17, 2000 - June 12, 2000
CHARLES SCHWAB & CO., INC.
January 22, 1986 - June 8, 1999
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SVB ALLIANT
CRD#: 121455 / SEC#: , 8-65414
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SVB FINANCIAL GROUP | OWNER | |
| BECKER, GREGORY WAYNE | DIRECTOR | 4511265 |
| DENT, MARY JEAN | DIRECTOR | 5391964 |
| MAHON, WILLIAM BRIAN | CHIEF COMPLIANCE OFFICER, AML OFFICER | 2992662 |
| SHEA, CECILIA MARIE | CHIEF FINANCIAL OFFICER, FINOP | 2765763 |
| WAGNER, TOM ROBERT | CHIEF EXECUTIVE OFFICER | 2747274 |
| WILCOX, KENNETH PARMALEE | DIRECTOR | 4487249 |
Red Flags
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