Lauren K. Brekken
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 Kaye Brekken, who also goes by Lauren Kaye Pettit, Lauren Pettit, Lauren Kaye Pettit Brekken, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 2005. Lauren had worked at 4 firms and has passed the Series 66, Series 31 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 8, 2010 - June 6, 2012
USCA RIA LLC
October 8, 2010 - June 6, 2012
USCA SECURITIES LLC
July 13, 2006 - October 15, 2010
UBS FINANCIAL SERVICES INC.
July 13, 2006 - October 15, 2010
UBS FINANCIAL SERVICES INC.
October 17, 2005 - June 7, 2006
MORGAN STANLEY DW INC.
September 29, 2005 - June 7, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
USCA RIA LLC
CRD#: 152170 / SEC#: 801-72105
Contact information
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.
