David C. Mclaurin
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.
David Christopher Mclaurin, who also goes by David C Mclaurin, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1997 - October 20, 1998
REGIONS INVESTMENT COMPANY, INC.
June 17, 1997 - August 20, 1997
LEGG MASON WOOD WALKER, INCORPORATED
June 17, 1988 - December 31, 1989
G. R. PHELPS & CO., INC.
April 10, 1987 - July 14, 1987
MML INVESTORS SERVICES, LLC
April 10, 1987 - July 15, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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
Current Firm
REGIONS INVESTMENT COMPANY, INC.
CRD#: 17618 / SEC#: , 8-35371
Contact information
Documents
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.
