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LP

Lauren E. Polsgrove

SAXONY SECURITIES
St. Louis, MO 63141
Some features on this profile are disabled
CRD#: 3178024
LP

Professional summary

Lauren Elizabeth Polsgrove, who also goes by Lauren Elizabeth Mohesky, Lauren Elizabeth Scannell, is a registered financial professional currently at SAXONY SECURITIES, INC. located in St. Louis, Missouri.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2007. Lauren has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lauren Elizabeth Mohesky | Lauren Elizabeth Scannell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lauren Elizabeth Polsgrove's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 10, 2017 - Present

SAXONY SECURITIES, INC.

Office #1: 275 N. Lindbergh Suite 20, St. Louis, MO 63141
BD
CRD#: 115547
St. Louis, MO
Past

April 28, 2014 - February 10, 2017

CUTTER & COMPANY, INC.

RIA
CRD#: 22449
ST. LOUIS, MO
Past

April 28, 2014 - February 10, 2017

CUTTER & COMPANY, INC.

BD
CRD#: 22449
ST. LOUIS, MO
Past

May 21, 2013 - April 28, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CHESTERFIELD, MO
Past

May 21, 2013 - April 28, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CHESTERFIELD, MO
Past

January 17, 2013 - May 29, 2013

LARSON FINANCIAL GROUP, LLC

RIA
CRD#: 140599
SAINT LOUIS, MO
Past

January 16, 2013 - May 14, 2013

LARSON FINANCIAL SECURITIES, LLC

BD
CRD#: 152517
SAINT LOUIS, MO
Past

August 24, 2011 - December 31, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LOUISVILLE, KY
Past

August 24, 2011 - December 31, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LOUISVILLE, KY
Past

February 9, 2011 - August 26, 2011

CENTER STREET SECURITIES, INC.

BD
CRD#: 26898
LOUISVILLE, KY
Past

February 4, 2009 - May 20, 2010

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

October 26, 2007 - May 20, 2010

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
LOUISVILLE, KY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(3/10/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/25/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

SAXONY SECURITIES, INC.

CRD#: 115547St. Louis, MO 63141

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