Laurie S. Mcclain
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.
Laurie Sharon Mcclain was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1988. Laurie had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
December 16, 2014 - December 31, 2014
KMS FINANCIAL SERVICES, INC.
June 25, 2009 - December 31, 2014
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
February 1, 2006 - June 22, 2009
KMS FINANCIAL SERVICES, INC.
February 1, 2006 - June 22, 2009
KMS FINANCIAL SERVICES, INC.
January 14, 2002 - January 31, 2006
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
August 15, 1996 - February 8, 2006
WALNUT STREET ADVISERS INC
March 10, 1995 - February 8, 2006
WALNUT STREET SECURITIES, INC.
July 26, 1988 - March 10, 1995
PARNASSUS FUNDS DISTRIBUTOR, LLC
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
