Audrey L. Schug
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.
Audrey Lee Schug, who also goes by Audrey Lee Devlin, Audrey Lee Hoffman, Audrey Lee Hoffmann, was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 1997. Audrey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2015 - July 28, 2017
FLAGSHIP HARBOR ADVISORS, LLC
September 3, 2015 - July 31, 2017
LPL FINANCIAL LLC
January 15, 2010 - September 5, 2013
BNY MELLON SECURITIES CORPORATION
November 19, 2009 - September 5, 2013
BNY MELLON SECURITIES CORPORATION
February 11, 2008 - February 17, 2009
CLEARBRIDGE INVESTMENTS, LLC
February 11, 2008 - February 17, 2009
FRANKLIN DISTRIBUTORS, LLC
December 16, 2005 - February 1, 2008
BOFA ADVISORS, LLC
January 3, 2005 - February 1, 2008
BOFA DISTRIBUTORS, INC.
April 9, 1999 - September 15, 2004
BOFA DISTRIBUTORS, INC.
June 30, 1997 - April 8, 1999
SIGNATOR INVESTORS, INC.
January 21, 1997 - June 30, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Primary Firm SEC Registration
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733 / SEC#: 801-71997
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
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733 / SEC#: 801-71997
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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.
