Lauren B. Sterling
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.
Lauren Beth Sterling, who also goes by Lauren Sterling, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 2003. Lauren had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2010 - October 15, 2012
MARWOOD GROUP RESEARCH
August 3, 2010 - October 15, 2012
MARWOOD GROUP RESEARCH
September 18, 2006 - March 11, 2009
NATIXIS SECURITIES AMERICAS LLC
September 13, 2003 - July 26, 2006
CIBC WORLD MARKETS CORP.
March 24, 2003 - August 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MARWOOD GROUP RESEARCH
CRD#: 147316 / SEC#: , 8-67969
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DORFMAN, ADDIE TAL | CHIEF COMPLIANCE OFFICER | 6911301 |
Disclosures
| Regulatory Event | 1 |
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.
