Laurie R. Siergiewicz
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.
Laurie R Siergiewicz, who also goes by Laurie Rose Siergiewicz, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1986. Laurie had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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 26, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 8, 2016 - March 9, 2018
SCOTTRADE, INC.
April 6, 2016 - January 13, 2017
EMPOWER ADVISORY GROUP, LLC
October 9, 2008 - August 1, 2016
EMPOWER FINANCIAL SERVICES, INC.
April 21, 2008 - September 17, 2008
CETERA WEALTH SERVICES, LLC
January 2, 2008 - September 17, 2008
CETERA WEALTH SERVICES, LLC
August 19, 2004 - August 13, 2007
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 15, 2002 - July 14, 2004
STRATEGIC ADVISERS LLC
January 19, 2001 - July 14, 2004
FIDELITY BROKERAGE SERVICES LLC
July 15, 1999 - December 20, 2000
CITIZENS SECURITIES, INC.
January 22, 1997 - July 9, 1999
FIS SECURITIES, INC.
September 11, 1995 - February 24, 1997
CONSECO SECURITIES, INC.
October 8, 1993 - August 25, 1995
A. G. EDWARDS & SONS, INC.
March 15, 1989 - April 14, 1992
NATIONAL FINANCIAL SERVICES LLC
January 6, 1987 - March 4, 1989
FIDELITY BROKERAGE SERVICES LLC
October 7, 1986 - December 19, 1986
FIDELITY DISTRIBUTORS CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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