Lorin W. Surpless
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.
Lorin Wilcox Surpless was a registered financial professional .
Lorin is a previously registered financial professional and started their career in finance in 1984. Lorin had worked at 5 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 1992 - August 31, 1992
LISS FINANCIAL SERVICES
March 13, 1990 - April 29, 1992
SECURITIES AMERICA, INC.
March 20, 1987 - February 14, 1990
BOUCHER, OEHMKE & COMPANY
February 3, 1986 - January 28, 1987
SECURITIES NETWORK, INC.
May 25, 1984 - January 28, 1986
JHM, INC.
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
Series 1
Date: 2/15/1974
Registered Representative ExaminationCurrent Firm
LISS FINANCIAL SERVICES
CRD#: 21950 / SEC#: , 8-39344
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
