Lynda A. Findlay
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.
Lynda A Findlay, who also goes by Lynda Alexandra Findlay, Lynda Ann Findlay, Lynda M Findlay, Lynda Ann Moshier, Lynda Findlay Scott, was a registered financial professional .
Lynda is a previously registered financial professional and started their career in finance in 2000. Lynda had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2014 - July 1, 2015
MULTI-BANK SECURITIES, INC.
March 9, 2012 - September 7, 2012
CRT CAPITAL GROUP LLC
September 21, 2011 - March 26, 2012
PIERPONT CAPITAL ADVISORS LLC
October 30, 2008 - September 21, 2011
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
May 23, 2006 - December 4, 2007
TRUIST SECURITIES, INC.
January 20, 2004 - May 17, 2006
RBC CAPITAL MARKETS, LLC
October 17, 2000 - January 14, 2004
FHN FINANCIAL SECURITIES CORP.
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
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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