Keri L. Lavergne
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.
Keri Lynn Lavergne, who also goes by Keri Lynn Tippett, was a registered financial professional .
Keri is a previously registered financial professional and started their career in finance in 1997. Keri had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2013 - May 31, 2013
ALLIED BEACON PARTNERS, INC.
May 16, 2008 - August 22, 2008
JESUP & LAMONT SECURITIES CORP
June 18, 2003 - February 11, 2005
RBC CAPITAL MARKETS CORPORATION
August 25, 1999 - February 6, 2004
RBC CAPITAL MARKETS, LLC
July 30, 1999 - August 17, 1999
RAYMOND JAMES & ASSOCIATES, INC.
February 28, 1997 - March 28, 1997
T. ROWE PRICE INVESTMENT 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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
