Natalie A. Lauer
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.
Natalie Alfredovna Lauer, who also goes by Natalie Alfredovna Yaros/avskiy, Natalie Alfredovna Yaroslavskiy, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2002. Natalie had worked at 5 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2013 - January 4, 2013
GREAT PACIFIC SECURITIES
March 19, 2007 - July 31, 2008
DIMENSION BROKERAGE, LLC
January 9, 2004 - March 23, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 23, 2003 - November 25, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
July 29, 2002 - June 27, 2003
SCHONFELD 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
Series 55
Date: 8/20/2002
Limited Representative-Equity Trader ExamCurrent Firm
GREAT PACIFIC SECURITIES
CRD#: 29251 / SEC#: , 8-44398
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
