Debra A. Lemoine
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.
Debra Ann Lemoine, who also goes by Debra Ann Worsley, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1986. Debra had worked at 5 firms and has passed the Series 63, Series 79TO, 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
February 10, 2017 - December 14, 2023
DINOSAUR FINANCIAL GROUP, L.L.C
August 6, 1996 - February 14, 2017
APB FINANCIAL GROUP, LLC
January 18, 1990 - August 12, 1996
FINANCIAL SQUARE PARTNERS
August 19, 1986 - February 5, 1990
LEHMAN BROTHERS INC.
May 20, 1986 - July 22, 1986
ADVEST, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
