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LC

Lynn M. Cline

SAUER, DAZEY INVESTMENT COMPANY
St. Louis, MO 63105
Some features on this profile are disabled
CRD#: 2171718
LC

Professional summary

Lynn Marie Cline, who also goes by Lynn Hrdlicka, Lynn Marie Nikolaisen, is a registered financial professional currently at SAUER, DAZEY INVESTMENT COMPANY located in St. Louis, Missouri.

Lynn is registered as a RR (Registered Representative) and started their career in finance in 1991. Lynn has worked at 1 firm and has passed the Series 63, SIE and Series 62 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lynn Hrdlicka | Lynn Marie Nikolaisen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lynn Marie Cline's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 27, 1991 - Present

SAUER, DAZEY INVESTMENT COMPANY

Office #1: 7800 Forsyth Blvd., Suite 820, St. Louis, MO 63105Office #2: 7800 Forsyth Blvd Suite 820, St. Louis, MO 63105
BD
CRD#: 16085
St. Louis, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(10/15/1991)

Exams

State Security Law Exam
RR
Series 63
Date: 10/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 8/26/1991
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SD
SAUER, DAZEY INVESTMENT COMPANY
F N SAUER INVESTMENT COMPANY | VITT, SAUER INVESTMENT COMPANY | SAUER, DAZEY INVESTMENT COMPANY

CRD#: 16085 / SEC#: , 8-33262

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7800 Forsyth Blvd Suite 820, St. Louis, MO 63105
Mailing Address
7800 Forsyth Blvd Suite 820, St. Louis, MO 63105
Phone number
(314) 725-3800
Established
Missouri since 11/07/1984
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORION INVESTMENT COMPANYPARENT COMPANY
NIKOLAISEN, LYNN MARIESECRETARY2171718
SAUER, FREDERIC GEORGEPRESIDENT/CCO4825438

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.

Company Information

SAUER, DAZEY INVESTMENT COMPANY

CRD#: 16085St. Louis, MO 63105

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