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LC

Laura M. Colletti

HEROLD & LANTERN INVESTMENTS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2561073
LC

Professional summary

Laura Marie Colletti, who also goes by Laura Marie Cuny, is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in New York, New York.

Laura is registered as a RR (Registered Representative) and started their career in finance in 1998. Laura has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Marie Cuny

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 Laura Marie Colletti'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

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022
BD
CRD#: 30996
New York, NY
Past

June 9, 2005 - September 28, 2017

CHARLES JORDAN & CO., LLC

BD
CRD#: 30303
NEW YORK, NY
Past

October 28, 2004 - November 5, 2020

BERNARD HEROLD & CO., INC.

BD
CRD#: 6193
NEW YORK, NY
Past

July 13, 2001 - October 25, 2004

B-TRADE SERVICES LLC

BD
CRD#: 41262
NEW YORK, NY
Past

June 24, 1998 - February 6, 2001

BT BROKERAGE CORPORATION

BD
CRD#: 16570
NEW YORK, NY

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
New York
(11/2/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/23/2005
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HEROLD & LANTERN INVESTMENTS, INC.
HEROLD & LANTERN INVESTMENTS, INC. | LANTERN INVESTMENTS, INC.

CRD#: 30996 / SEC#: , 8-45285

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

Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Phone number
(631) 454-2000
Established
Delaware since 08/28/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 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#
PERCHERON ASSET MANAGEMENT GROUP, INC.OWNER
HEROLD, LAWRENCE STEPHENCHIEF OPERATING OFFICER/FINOP870531
LANTON, KEITH MICHAELPRESIDENT1703378
SHEFTEL, WENDY DIANECHIEF COMPLIANCE OFFICER2300282

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

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996New York, NY 10022

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