Gloria R. Lakritz
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.
Gloria Roberta Lakritz, who also goes by Gloria Roberta Goldman, was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 2000. Gloria had worked at 4 firms and has passed the SIE, 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
December 9, 2008 - August 16, 2018
J.W. COLE FINANCIAL, INC.
February 21, 2007 - December 10, 2008
LIFEMARK SECURITIES CORP.
February 1, 2007 - March 15, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2000 - February 1, 2007
ATLAS SECURITIES, LLC
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
