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JL

John D. Lauer

Some features on this profile are disabled
CRD#: 2323216
JL

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.

John David Lauer was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1993. John had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 20, 2013 - March 5, 2015

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ESCONDIDO, CA
Past

December 16, 2008 - May 31, 2012

WESTPARK WEALTH ADVISORS, INC.

RIA
CRD#: 130914
ESCONDIDO, CA
Past

December 15, 2008 - May 31, 2012

IMS SECURITIES, INC.

BD
CRD#: 35567
ESCONDIDO, CA
Past

June 25, 2008 - December 11, 2008

EPLANNING ADVISORS INC

RIA
CRD#: 109184
ROSEVILLE, CA
Past

June 24, 2008 - December 11, 2008

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
BREA, CA
Past

July 13, 2005 - June 23, 2008

WAVELAND CAPITAL PARTNERS LLC

RIA
CRD#: 40054
SAN MARCOS, CA
Past

May 4, 2004 - August 31, 2005

WAVELAND INVESTMENT ADVISORS, LLC

RIA
CRD#: 119505
SAN MARCOS, CA
Past

November 7, 2002 - June 23, 2008

WAVELAND CAPITAL PARTNERS LLC

BD
CRD#: 40054
SAN MARCOS, CA
Past

March 13, 2002 - January 17, 2003

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

November 3, 1998 - March 13, 2002

PIM FINANCIAL SERVICES, INC.

BD
CRD#: 10547
SAN MARCOS, CA
Past

August 21, 1996 - November 3, 1998

FIRST WALL STREET CORP.

BD
CRD#: 13024
LA JOLLA, CA
Past

January 23, 1994 - August 16, 1996

UNITED PACIFIC SECURITIES, INC.

BD
CRD#: 21986
CARLSBAD, CA
Past

April 5, 1993 - January 10, 1994

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
BETHESDA, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/23/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/27/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/5/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/2006
General Securities Principal Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

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

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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