Laurie E. Beaty
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.
Laurie Ellen Beaty, who also goes by Laurie Eleen Beaty, Laurie Ellen Hearne, Laurie Hearne, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1996. Laurie had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2011 - April 22, 2014
GROTON SECURITIES LLC
July 14, 2003 - December 1, 2008
DKR CAPITAL SECURITIES CORP.
December 23, 1998 - July 18, 2000
PINEBRIDGE SECURITIES LLC
October 11, 1996 - November 19, 1998
AIG INTERNATIONAL SECURITIES INC.
January 9, 1996 - October 3, 1996
METROPOLITAN LIFE INSURANCE COMPANY
January 9, 1996 - October 3, 1996
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GROTON SECURITIES LLC
CRD#: 126600 / SEC#: , 8-65896
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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