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LP

Laurie B. Palmer

SEAPORT GLOBAL SECURITIES LLC
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 4582834
LP

Professional summary

Laurie Beth Palmer, who also goes by Laurie Palmer, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Costa Mesa, California.

Laurie is registered as a RR (Registered Representative) and started their career in finance in 2005. Laurie has worked at 13 firms and has passed the SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laurie Palmer

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 Laurie Beth Palmer'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

October 16, 2023 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 3090 Bristol Street Suite 400, Costa Mesa, CA 92626
BD
CRD#: 116270
Costa Mesa, CA
Past

June 11, 2021 - April 27, 2023

D.A. DAVIDSON & CO.

BD
CRD#: 199
GREAT FALLS, MT
Past

February 22, 2021 - March 16, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

October 21, 2020 - December 8, 2020

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

December 6, 2019 - February 25, 2020

D.A. DAVIDSON & CO.

BD
CRD#: 199
GREAT FALLS, MT
Past

January 2, 2019 - March 19, 2019

THINKEQUITY LLC

BD
CRD#: 20996
San Diego, CA
Past

April 17, 2015 - July 17, 2018

MKM PARTNERS LLC

BD
CRD#: 114666
NEWPORT BEACH, CA
Past

July 24, 2014 - April 21, 2015

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA
Past

March 23, 2012 - March 28, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

July 12, 2011 - July 7, 2014

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

January 7, 2009 - July 12, 2011

LONGBOW SECURITIES, LLC

BD
CRD#: 135738
INDEPENDENCE, OH
Past

November 11, 2008 - December 26, 2008

BREAN CAPITAL, LLC

BD
CRD#: 23723
NEW YORK, NY
Past

February 2, 2007 - November 3, 2008

MERRIMAN CAPITAL, INC.

BD
CRD#: 18296
NEW YORK, NY
Past

October 17, 2005 - January 19, 2007

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 7/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 3/28/2007
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/14/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/7/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270Costa Mesa, CA 92626

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