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SL

Susan B. Lauletta

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CRD#: 2655117
SL

Professional summary

Susan B Lauletta was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Susan is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Susan had worked at 6 firms, which includes CIC ADVISERS LLC, CAPITAL INVESTMENT ADVISORY SERVICES LLC, CAPITAL INVESTMENT GROUP INC., PARK AVENUE SECURITIES LLC, N.N.A.I.A, GUARDIAN INVESTOR SERVICES LLC.

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

October 22, 2010 - February 8, 2011

CIC ADVISERS, LLC

RIA
CRD#: 130735
RALEIGH, NC
Past

October 22, 2010 - February 8, 2011

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA
CRD#: 149124
RALEIGH, NC
Past

July 1, 2010 - February 8, 2011

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
SYOSSET, NY
Past

September 8, 2006 - April 1, 2010

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
WOODBURY, NY
Past

June 7, 2004 - June 25, 2012

N.N.A.I.A

RIA
CRD#: 114164
WOODBURY, NY
Past

May 3, 1999 - April 1, 2010

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
WOODBURY, NY
Past

October 13, 1995 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY

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
RR
IAR
Series 66
Date: 12/14/2004
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/20/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/12/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2001
General Securities Principal Examination

Current Firm

CA
CIC ADVISERS, LLC
BARTLETT FINANCIAL GROUP | CAPITAL INVESTMENT COMPANIES | CAPITAL INVESTMENT GROUP, INC. | CAROLINAS FINANCIAL ASSOCIATES, INC. | CIC ADVISERS, LLC | HART & ASSOCIATES | JOHN M. GLASGOW | JOHN T. DAST | MARKET SQUARE ADVISERS | MUMY FINANCIAL ADVISORS, LLC | THE MCDANIEL CORPORATION | THE PORTFOLIO MANAGEMENT GROUP, INC | YOURKIEVITZ & ASSOCIATES

CRD#: 130735 / SEC#:

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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
17 Glenwood Avenue, Raleigh, NC 27603
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

CIC ADVISERS, LLC

CRD#: 130735

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