Laurie A. Douds
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 Ann Douds, who also goes by Laurie A Douds, Laurie D. Goldstein, Laurie Douds Singh, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1990. Laurie had worked at 12 firms and has passed the Series 63, SIE, Series 87, 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
October 30, 2017 - June 28, 2018
VIEWTRADE SECURITIES, INC.
December 9, 2011 - October 15, 2015
GILFORD SECURITIES INCORPORATED
October 8, 2007 - January 5, 2010
MERCER CAPITAL LTD.
September 20, 2006 - October 26, 2007
MERCATOR ASSOCIATES, LLC
May 2, 2006 - August 16, 2006
S.W. BACH & COMPANY
February 10, 2005 - May 5, 2006
GILFORD SECURITIES INCORPORATED
July 6, 2004 - September 22, 2004
COWEN SECURITIES LLC
August 1, 2000 - March 25, 2004
GILFORD SECURITIES INCORPORATED
March 16, 2000 - June 9, 2000
HD BROUS & CO., INC.
February 11, 1999 - June 23, 1999
GRUNTAL & CO., L.L.C.
July 23, 1997 - November 30, 1998
THE SEIDLER COMPANIES INCORPORATED
February 12, 1996 - November 5, 1996
CAPITAL INVESTMENTS INTERNATIONAL INC.
October 5, 1992 - December 17, 1995
GOLDMAN CAPITAL MANAGEMENT, INC.
October 17, 1990 - February 4, 1992
BARON CAPITAL, 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
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
Red Flags
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