Kathleen A. Lauster
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.
Kathleen Ann Lauster, who also goes by Kathleen Lauster, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2008. Kathleen had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 62, 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
July 29, 2025 - January 2, 2026
BA SECURITIES, LLC
January 11, 2023 - July 22, 2025
ANKURA CAPITAL ADVISORS, LLC
August 11, 2020 - February 6, 2023
BA SECURITIES, LLC
March 23, 2016 - January 3, 2022
SILVER LEAF PARTNERS, LLC
March 13, 2008 - March 23, 2012
HOULIHAN LOKEY CAPITAL, INC.
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 79TO
Date: 11/19/2021
Investment Banking Registered Representative ExaminationSeries 62
Date: 3/2/2016
Corporate Securities Limited Representative ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
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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