Laura Ann E Mccloskey
Professional Summary
Laura Ann E Mccloskey, who also goes by Laura Ann Dicarlo, Laura Ann E Dicarlo, Lauraann E Dicarlo, Laura Anne Mccloskey, Lauraann E Mccloskey, was a registered financial advisor. Laura Ann was a previously registered financial professional and started their career in finance 1987 - 2012. Laura Ann had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Laura Ann Dicarlo, Laura Ann E Dicarlo, Lauraann E Dicarlo, Laura Anne Mccloskey, Lauraann E Mccloskey
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
KERN, SUSLOW SECURITIES, INC.
Contact Information
Established
New York since 04/03/1989Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUSLOW, STEPHEN S | VICE PRESIDENT | 440234 |
| HAMILTON, CHRISTOPHER GEORGE | FINOP, PRESIDENT, CCO | — |
| ESTATE OF ARTHUR KERN | OWNER | — |
Disclosures
Regulatory Event
4Arbitration
1Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed May 1993Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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