Tiffany R. Lauer
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.
Tiffany Riggs Lauer, who also goes by Tiffany Michelle Riggs, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 1989. Tiffany had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - May 3, 2024
CUNA BROKERAGE SERVICES, INC.
January 4, 2017 - February 12, 2018
TRANSAMERICA CAPITAL, LLC
July 16, 2015 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
July 31, 2013 - July 13, 2015
NATIONWIDE INVESTMENT ADVISORS, LLC
March 20, 2012 - July 13, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 13, 2000 - November 11, 2011
JOHN HANCOCK DISTRIBUTORS LLC
June 12, 1998 - July 31, 2000
CITISTREET EQUITIES LLC
January 20, 1997 - February 24, 1997
INVESCO CAPITAL MARKETS, INC.
December 18, 1989 - January 28, 1991
AMERICAN CAPITAL MARKETING, INC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
