Lauren G. Habetz
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 Geraghty Habetz, who also goes by Lauren Elizabeth Habetz, Habetz, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 1996. Lauren had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2022 - September 15, 2023
BA SECURITIES, LLC
November 1, 2012 - February 4, 2020
SCOTIA CAPITAL (USA) INC.
February 11, 2009 - November 1, 2012
HOWARD WEIL INCORPORATED
May 20, 2004 - February 11, 2009
JOHNSON RICE & COMPANY L.L.C.
August 25, 1999 - June 28, 2002
MERCER SECURITIES, INC.
March 25, 1998 - March 19, 1999
MORGAN KEEGAN & COMPANY, LLC
January 14, 1997 - March 11, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 1996 - November 14, 1996
AMERIPRISE ADVISOR SERVICES, 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
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
