Lauren G. Faist
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 Gayle Faist was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1968. Lauren had worked at 5 firms and has passed the Series 63, SIE, Series 1 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
October 2, 2002 - December 31, 2015
SMITH HAYES ADVISERS INC
June 4, 2002 - December 31, 2015
SMITH HAYES FINANCIAL SERVICES CORPORATION
July 12, 1978 - June 3, 2002
KFS BD, INC.
January 15, 1975 - September 3, 1978
WHITE, WELD & CO. INCORPORATED
August 14, 1968 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
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
Series 1
Date: 8/8/1968
Registered Representative ExaminationCurrent Firm
SMITH HAYES ADVISERS INC
CRD#: 110776 / SEC#: 801-56902
Contact information
Red Flags
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