Lourie L. Drouillard
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.
Lourie Lee Drouillard, who also goes by Lourie Lee Hayton, was a registered financial professional .
Lourie is a previously registered financial professional and started their career in finance in 2004. Lourie had worked at 2 firms and has passed the Series 63, Series 6, Series 26 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2008 - November 12, 2012
CPFG SECURITIES, INC
May 3, 2004 - December 15, 2005
CPFG SECURITIES, 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 28
Date: 5/31/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CPFG SECURITIES, INC
CRD#: 146003 / SEC#: , 8-67770
Contact information
Documents
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.
