Michael W. Lauterbach
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.
Michael William Lauterbach was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 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
October 31, 2016 - December 6, 2016
FIRST TRYON SECURITIES, LLC
September 7, 2011 - June 17, 2014
KEYBANC CAPITAL MARKETS INC.
January 27, 2010 - April 14, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
April 6, 2009 - January 19, 2010
CANTOR FITZGERALD & CO.
May 9, 1997 - April 1, 2009
BANC OF AMERICA SECURITIES LLC
April 28, 1997 - May 8, 1997
CITICORP SECURITIES, INC.
April 9, 1994 - January 30, 1995
GOLDMAN SACHS & CO. LLC
April 22, 1987 - March 9, 1993
JPMSI
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
FIRST TRYON SECURITIES, LLC
CRD#: 7336 / SEC#: , 8-21426
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUNNEMER & CO. | MEMBER | |
| BRUNNEMER, HUBER KEITH III | MEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE | 2758256 |
| BECK, ERIC JASON | CCO | 4824373 |
| BRUNNEMER, HEBER KEITH JR | MEMBER | 33824 |
| CARPENTER, MARGARET BRUNNEMER MS. | MEMBER, CHIEF FINANCIAL OFFICER, FINOP, | 2042716 |
| HOWELL, ELIZABETH WARREN | MEMBER, SENIOR VICE PRESIDENT | 4791377 |
| JOSEPH, ERIC MICHAEL | MEMBER, SENIOR VICE PRESIDENT | 4001509 |
| WARDLAW, CRAIG M JR. | MEMBER, SENIOR VICE PRESIDENT | 5316503 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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