David J. Laurent
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.
David J Laurent, who also goes by David Jean Pierre Laurent, David Jeanpierre Laurent, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 63, Series 55, 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
September 14, 2004 - January 5, 2006
SCHONFELD SECURITIES, LLC
January 12, 2001 - February 11, 2010
TRINIX SECURITIES LLC
October 8, 1998 - March 28, 2000
JAGUAR SECURITIES, LLC
November 4, 1996 - July 11, 2000
RUMSON CAPITAL, LLC
March 21, 1995 - January 3, 1996
THE MADRID GROUP, INC.
January 27, 1995 - March 6, 1995
INVESTORS ASSOCIATES, INC.
February 2, 1994 - October 3, 1994
INVESTORS ASSOCIATES, 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
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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