Lauren A. Duwe
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 Angela Duwe, who also goes by Angela Behringer, L Angela Behringer, Lauren Angela Behringer, Lauren Massey, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1994. Lauren had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - February 11, 2016
COMERICA SECURITIES
January 8, 2010 - January 12, 2012
LPL FINANCIAL LLC
March 14, 2007 - March 10, 2008
INVESTMENT PROFESSIONALS, INC.
March 9, 2005 - March 28, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 25, 2004 - November 5, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 7, 2002 - May 27, 2003
SOUTHTRUST SECURITIES, LLC
June 9, 1999 - January 7, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 27, 1997 - June 16, 1998
BA INVESTMENT SERVICES, INC.
January 1, 1995 - June 27, 1995
COMERICA SECURITIES
September 21, 1994 - January 1, 1995
COMERICA FINANCIAL SERVICES, INC.
February 25, 1994 - July 11, 1995
FIMCO SECURITIES GROUP, 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
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
