Lauri S. Friel
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.
Lauri S Friel, who also goes by Lauri Byrd, Lauri Friel, Lauri S. Friel, was a registered financial professional .
Lauri is a previously registered financial professional and started their career in finance in 2001. Lauri had worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2022 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
October 19, 2022 - December 31, 2024
QUASAR DISTRIBUTORS, LLC
October 19, 2022 - December 31, 2024
PERPETUAL AMERICAS FUNDS DISTRIBUTORS, LLC
October 19, 2022 - December 31, 2024
ORBIS INVESTMENTS (U.S.), LLC
October 19, 2022 - December 31, 2024
IMST DISTRIBUTORS, LLC
October 19, 2022 - December 31, 2024
FORESIDE GLOBAL SERVICES, LLC
October 19, 2022 - December 31, 2024
FORESIDE FINANCIAL SERVICES, LLC
October 3, 2022 - December 31, 2022
FORESIDE DISTRIBUTION SERVICES, L.P.
October 3, 2022 - December 31, 2024
FUNDS DISTRIBUTOR, LLC
October 3, 2022 - December 31, 2024
FORESIDE FUNDS DISTRIBUTORS LLC
October 3, 2022 - December 31, 2024
FORESIDE FUND SERVICES, LLC
April 18, 2013 - September 8, 2021
CNL SECURITIES CORP.
May 6, 2005 - August 13, 2013
WELLS INVESTMENT SECURITIES,INC.
April 12, 2002 - May 6, 2005
WORLD GROUP SECURITIES, INC.
June 8, 2001 - April 12, 2002
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
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