Laure E. Richmond
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.
Laure E Richmond was a registered financial professional .
Laure is a previously registered financial professional and started their career in finance in 2009. Laure had worked at 2 firms and has passed the Series 99TO, SIE and Series 27 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2024 - July 13, 2026
TMX ALPHA US, LLC
November 23, 2009 - July 19, 2022
INSTINET, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TMX ALPHA US, LLC
CRD#: 329008 / SEC#: , 8-71182
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
