Cathy J. Lauria
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.
Cathy Jean Lauria, who also goes by Cathy Jean Vorrasi, was a registered financial professional .
Cathy is a previously registered financial professional and started their career in finance in 2002. Cathy had worked at 7 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2014 - December 31, 2023
THE LEADERS GROUP, INC.
September 11, 2012 - March 4, 2014
PARSONEX SECURITIES, INC.
October 10, 2011 - April 30, 2012
VOYA FINANCIAL ADVISORS, INC.
July 26, 2011 - July 29, 2011
VOYA RETIREMENT ADVISORS, LLC
March 9, 2010 - April 30, 2012
VOYA FINANCIAL PARTNERS, LLC
September 19, 2005 - April 30, 2012
DIRECTED SERVICES LLC
November 13, 2002 - April 30, 2012
SLD AMERICA EQUITIES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
