John W. Lauder
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.
John Warren Lauder, who also goes by John Lauder, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2009 - September 25, 2023
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 5, 2009 - September 25, 2023
VOYA INVESTMENT MANAGEMENT CO. LLC
June 27, 2007 - May 5, 2009
VOYA INVESTMENT MANAGEMENT CO. LLC
November 6, 2000 - May 5, 2009
ING INVESTMENT MANAGEMENT SERVICES LLC
March 25, 1998 - December 13, 2000
UBS ASSET MANAGEMENT (US) 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
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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