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LR

Laure E. Richmond

TMX ALPHA US
New York, NY 10005
Some features on this profile are disabled
CRD#: 5115429
LR

Professional summary

Laure E Richmond is a registered financial professional currently at TMX ALPHA US, LLC located in New York, New York.

Laure is registered as a RR (Registered Representative) and started their career in finance in 2009. Laure has worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Laure E Richmond's 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

May 31, 2024 - Present

TMX ALPHA US, LLC

Office #1: 140 Broadway 46th Floor, New York, NY 10005
BD
CRD#: 329008
New York, NY
Past

November 23, 2009 - July 19, 2022

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY

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
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/19/2009
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TMX ALPHA US, LLC
TMX ALPHA US, LLC | TSX ALPHA U.S., INC.

CRD#: 329008 / SEC#: , 8-71182

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

Main Address
225 Liberty St, Suite 2310, New York, NY 10281
Mailing Address
225 Liberty St, Suite 2310, New York, NY 10281
Phone number
(332) 900-6690
Established
Delaware since 11/01/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TMX U.S. HOLDINGS, INC.SHAREHOLDER
CHEN, DENNO MIN-WEICHIEF COMPLIANCE OFFICER8012832
FISCHER, HEIDI JILLPRESIDENT4821269
FREDERICK, CHARLESMANAGING DIRECTOR, PRODUCT DESIGN, ANALYTICS AND OPERATIONS3272244
RICHMOND, LAURE ECFO, FINOP5115429

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

TMX ALPHA US, LLC

CRD#: 329008New York, NY 10005

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