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LI

Luciana M. Ingersoll

AW SECURITIES
St. Louis, MO 63141
Some features on this profile are disabled
CRD#: 4340745
LI

Professional summary

Luciana M Ingersoll is a registered financial professional currently at AW SECURITIES located in St. Louis, Missouri.

Luciana is registered as a RR (Registered Representative) and started their career in finance in 2001. Luciana has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Luciana M Ingersoll'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

December 17, 2021 - Present

AW SECURITIES

Office #1: 3 City Place Drive, Suite 290, St. Louis, MO 63141
BD
CRD#: 103747
St. Louis, MO
Past

November 29, 2017 - December 22, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
ST. LOUIS, MO
Past

November 3, 2015 - November 29, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
ST. LOUIS, MO
Past

March 25, 2015 - November 3, 2015

OPPENHEIMER & CO. INC.

BD
CRD#: 249
ST. LOUIS, MO
Past

February 13, 2009 - December 31, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
ST. LOUIS, MO
Past

September 23, 2004 - February 27, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CLAYTON, MO
Past

March 30, 2004 - September 17, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

April 10, 2001 - May 12, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

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
Illinois
(12/17/2021)
RR
Missouri
(12/17/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/22/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN

CRD#: 103747 / SEC#: 801-69038, 8-52250

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
10

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

NamePositionCRD#
ALLWORTH FINANCIAL GROUP, L.P.GENERAL PARTNER
BEATON, DANIEL STEWARTFINOP4240769
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER - BD2366022
GAMBLE, COREY CCHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO4919573
GREENBERG, BARRY YALECHIEF LEGAL COUNSEL5863733
GRIGSBY, GARY LAWSONCEO3167632
TAYLOR, KRISTIAN LEIGHVICE PRESIDENT- OPERATIONS4163800

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

AW SECURITIES

CRD#: 103747St. Louis, MO 63141

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