Courtney F. Fugger
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.
Courtney Farrell Fugger, who also goes by Courtney Farrell Bayer, was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 2007. Courtney had worked at 4 firms and has passed the Series 63, Series 3, Series 55 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
January 3, 2013 - February 6, 2014
CITADEL SECURITIES LLC
February 18, 2011 - December 14, 2012
OPTIONSHOUSE1, LLC
May 26, 2010 - February 7, 2011
TD AMERITRADE, INC.
March 27, 2007 - May 26, 2010
BELLEVUE CHICAGO, 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 55
Date: 10/21/2010
Limited Representative-Equity Trader ExamCurrent Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 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.
