Mistine P. Lauzon
Professional summary
Mistine Philippa Lauzon, who also goes by Mistine P Webb, Mistine P. Webb, Mistine Philippa Webb, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Mistine is registered as a RR (Registered Representative) and started their career in finance in 2001. Mistine has worked at 3 firms and has passed the SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mistine Philippa Lauzon's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2019 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017April 9, 2018 - February 20, 2019
NATIONAL BANK OF CANADA FINANCIAL INC.
September 11, 2006 - April 26, 2017
GOLDMAN SACHS & CO. LLC
August 27, 2001 - August 5, 2004
GOLDMAN SACHS & CO. 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
Series 62
Date: 8/24/2001
Corporate Securities Limited Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
