Lorraine Mcdonald
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.
Lorraine Mcdonald, who also goes by Lorraine Thea Mcdonald, Lorraine Sirota, Lorraine Thea Sirota-mcdonald, Lorraine Thea Zimmerman, was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 1988. Lorraine had worked at 12 firms and has passed the Series 63, SIE, 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
January 3, 2017 - September 18, 2018
NUVEEN SECURITIES, LLC
February 4, 2016 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 1, 2003 - March 4, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 15, 2002 - March 14, 2014
ICAP SECURITIES USA LLC
September 20, 2000 - December 6, 2000
INTERCAPITAL INTERNATIONAL INC.
July 29, 1999 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
July 29, 1999 - September 20, 2000
INTERCAPITAL INTERNATIONAL INC.
September 21, 1995 - January 25, 2002
ICAP SECURITIES USA LLC
September 21, 1995 - August 1, 2003
INTERCAPITAL SECURITIES LLC
August 18, 1993 - March 8, 1995
JPMSI
October 9, 1991 - August 17, 1993
MORGAN STANLEY DW INC.
March 13, 1989 - September 9, 1991
HILLIARD FARBER SECURITIES CORP.
March 13, 1989 - September 9, 1991
DEALERWEB LLC
February 23, 1988 - March 8, 1989
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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