Deborah J. Buck
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.
Deborah Joy Buck, who also goes by Deborah Joy Sarah, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1997. Deborah had worked at 4 firms and has passed the Series 63, Series 7TO, 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
September 7, 2012 - August 3, 2015
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
November 20, 2008 - January 11, 2021
OSAIC FA, INC.
November 20, 2008 - January 11, 2021
OSAIC FA, INC.
August 9, 2004 - October 17, 2008
VALIC FINANCIAL ADVISORS, INC.
June 17, 2004 - October 17, 2008
VALIC FINANCIAL ADVISORS, INC.
December 1, 1998 - February 17, 2004
OSAIC FA, INC.
April 30, 1997 - February 17, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 30, 1997 - February 17, 2004
OSAIC FA, 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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
CRD#: 5178 / SEC#: , 8-15753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | PARENT COMPANY | |
| CAMPBELL, DELSON ROBERT | VICE PRESIDENT, DIRECTOR | 2165812 |
| COUTTS, JEFFREY DOUGLAS | SENIOR VICE PRESIDENT, TREASURER, DIRECTOR | |
| ELDER, KENNETH J. | AML OFFICER | 5949626 |
| GOULD, PAUL NOBLE | ASSISTANT VICE PRESIDENT | 3073375 |
| KLOUDA, MAUREEN ANN | COMPLIANCE MANAGER | 1159259 |
| KROLL, BRIAN ANTHONY | PRESIDENT, DIRECTOR | 5910026 |
| PAWSAT, CARL RAYMOND | INTERIM CHIEF FINANCIAL AND OPERATIONS PRINCIPAL | 6133845 |
| SAMPLATSKY, LAWRENCE A | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 4268260 |
| SKARIE, BRADLEY RAY | ASSISTANT VICE PRESIDENT | 2844865 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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