Lauren K. Grant
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.
Lauren Kimberly Grant, who also goes by Lauren K Grant Thor, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1994. Lauren had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2014 - June 30, 2017
NATIONAL PLANNING CORPORATION
May 12, 2014 - June 30, 2017
NATIONAL PLANNING CORPORATION
May 30, 2013 - February 1, 2014
OSAIC FA, INC.
May 3, 2013 - February 1, 2014
OSAIC FA, INC.
October 9, 2006 - June 7, 2013
NATIONAL PLANNING CORPORATION
October 6, 2006 - June 7, 2013
NATIONAL PLANNING CORPORATION
February 14, 2006 - October 11, 2006
OSAIC FA, INC.
February 14, 2006 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 14, 2006 - October 11, 2006
OSAIC FA, INC.
December 3, 2003 - January 11, 2006
OSAIC FA, INC.
December 3, 2003 - January 11, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 3, 2003 - January 11, 2006
OSAIC FA, INC.
September 3, 2000 - December 19, 2003
VERAVEST INVESTMENT ADVISORS, INC.
August 4, 1994 - December 19, 2003
VERAVEST INVESTMENTS, INC.
March 23, 1994 - June 29, 1994
MONY SECURITIES CORPORATION
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 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.
