Lauren M. Ulman
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.
Lauren Marie Ulman, who also goes by Lauren Marie Andrews, Lauren-marie Ulman Erdt, was a registered financial professional .
Lauren is a previously registered financial professional and started their career in finance in 2012. Lauren had worked at 4 firms and has passed the Series 66, SIE, 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
January 30, 2017 - February 1, 2019
PENOBSCOT FINANCIAL ADVISORS
April 17, 2014 - July 31, 2017
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
April 16, 2014 - July 31, 2017
NEWEDGE SECURITIES, LLC
January 10, 2012 - April 17, 2014
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
PENOBSCOT FINANCIAL ADVISORS
CRD#: 286211 / SEC#: 801-108988
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
PENOBSCOT FINANCIAL ADVISORS
CRD#: 286211 / SEC#: 801-108988
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,925 |
| AUM (Assets Under Management) | $ 434,543,021 |
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.
