Luann E. Cotter
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.
Luann Elaine Cotter, who also goes by Luann Elaine Newberry, Luann Elaine Ruble, was a registered financial professional .
Luann is a previously registered financial professional and started their career in finance in 1998. Luann had worked at 2 firms and has passed the Series 63 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
May 17, 2004 - July 7, 2014
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 6, 1998 - November 1, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
February 26, 1998 - May 15, 1998
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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