Renee E. Aucoin
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.
Renee E Aucoin, who also goes by Renee Elizabeth Aucoin-kohr, was a registered financial professional .
Renee is a previously registered financial professional and started their career in finance in 2008. Renee had worked at 6 firms and has passed the Series 66 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
July 5, 2012 - August 7, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
June 15, 2012 - August 7, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
August 24, 2011 - June 5, 2012
CHASE INVESTMENT SERVICES CORP.
August 11, 2011 - June 5, 2012
CHASE INVESTMENT SERVICES CORP.
January 28, 2011 - February 17, 2011
INVEST FINANCIAL CORPORATION
January 24, 2011 - February 17, 2011
INVEST FINANCIAL CORPORATION
June 10, 2010 - July 21, 2010
MORGAN STANLEY
June 10, 2010 - July 21, 2010
MORGAN STANLEY
May 19, 2010 - June 10, 2010
CITIGROUP GLOBAL MARKETS INC.
August 5, 2008 - June 10, 2010
CITIGROUP GLOBAL MARKETS 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
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
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.
