Laura Ann E. Mccloskey
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.
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 professional .
Laura Ann is a previously registered financial professional and started their career in finance in 1987. Laura Ann had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2010 - December 31, 2012
KERN, SUSLOW SECURITIES, INC.
March 28, 2002 - January 13, 2010
GUNNALLEN FINANCIAL, INC
April 21, 1993 - April 1, 2002
STARR SECURITIES, INC.
October 20, 1987 - April 26, 1993
GRUNTAL & CO., L.L.C.
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 8
Date: 5/12/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KERN, SUSLOW SECURITIES, INC.
CRD#: 24755 / SEC#: , 8-41371
Contact information
Documents
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 | 4 |
| 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.
