Lauren E. Seiler
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 Elise Seiler, who also goes by Lauren Elise Rufino, Lauren Rufino, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 2006. Lauren had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2018 - September 2, 2020
ROSS SECURITIES CORPORATION
March 14, 2018 - September 14, 2018
FORESIDE FUND SERVICES, LLC
June 16, 2016 - July 18, 2017
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
June 2, 2015 - April 11, 2016
CBRE SECURITIES, LLC
September 8, 2009 - April 29, 2015
TELSEY ADVISORY GROUP LLC
February 11, 2008 - August 25, 2009
DEUTSCHE BANK SECURITIES INC.
April 2, 2007 - April 9, 2007
MORGAN STANLEY & CO. LLC
January 25, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSS SECURITIES CORPORATION
CRD#: 113796 / SEC#: , 8-53361
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, NORMAN EDMOND | PRESIDENT, CCO, CUSTODIAN | 2258201 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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