James V. Lauro
Professional summary
James V Lauro, who also goes by James VIncent Lauro, James Lauro, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Orlando, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James V Lauro's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 28, 2023 - Present
PRINCIPAL SECURITIES, INC.
August 16, 2012 - July 5, 2013
LEGEND EQUITIES CORPORATION
January 4, 2011 - February 10, 2011
EQUITABLE ADVISORS, LLC
October 2, 2002 - December 8, 2003
EQUITABLE ADVISORS, LLC
September 26, 2002 - December 8, 2003
EQUITABLE ADVISORS, LLC
April 10, 2002 - September 18, 2002
USALLIANZ SECURITIES, INC.
August 21, 2000 - April 4, 2002
INTERNATIONAL ASSETS ADVISORY, LLC
October 15, 1999 - June 21, 2000
CHARLES SCHWAB & CO., INC.
May 20, 1999 - September 27, 1999
TRUIST INVESTMENT SERVICES, INC.
June 30, 1998 - February 23, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/29/2023)
Exams
Series 7TO
Date: 11/28/2023
General Securities Representative ExaminationFINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
