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CG

Courtney H. Ghysels

HAMILTON LANE SECURITIES LLC
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 6380338
CG

Professional summary

Courtney H Ghysels, who also goes by Courtney Heather Ghysels, is a registered financial professional currently at HAMILTON LANE SECURITIES LLC located in Conshohocken, Pennsylvania.

Courtney is registered as a RR (Registered Representative) and started their career in finance in 2014. Courtney has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Courtney Heather Ghysels

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Courtney H Ghysels's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 3, 2022 - Present

HAMILTON LANE SECURITIES LLC

Office #1: 110 Washington Street Suite 1300, Conshohocken, PA 19428
BD
CRD#: 281510
Conshohocken, PA
Past

February 4, 2015 - April 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

November 17, 2014 - April 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/3/2022)
RR
California
(5/3/2022)
RR
Connecticut
(5/3/2022)
RR
Delaware
(5/3/2022)
RR
District of Columbia
(5/3/2022)
RR
Florida
(5/3/2022)
RR
Georgia
(5/3/2022)
RR
Illinois
(5/3/2022)
RR
Maine
(5/3/2022)
RR
Maryland
(5/3/2022)
RR
Massachusetts
(5/3/2022)
RR
New Hampshire
(5/3/2022)
RR
New Jersey
(5/3/2022)
RR
New York
(5/3/2022)
RR
North Carolina
(5/3/2022)
RR
Pennsylvania
(5/3/2022)
RR
Rhode Island
(5/3/2022)
RR
South Carolina
(5/3/2022)
RR
Tennessee
(5/3/2022)
RR
Texas
(5/3/2022)
RR
Vermont
(5/3/2022)
RR
Virginia
(5/3/2022)
RR
West Virginia
(5/3/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/3/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HAMILTON LANE SECURITIES LLC
HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Mailing Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Phone number
(610) 934-2222
Established
Delaware since 08/17/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HAMILTON LANEMEMBER107876
BRENNAN, STEPHEN RICHARD JRCHIEF EXECUTIVE OFFICER2488932
ROMERO, MONIQUE VICTORIAFINOP6712654
SHIN, ROBERTCHIEF COMPLIANCE OFFICER2683514

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.

Company Information

HAMILTON LANE SECURITIES LLC

CRD#: 281510Conshohocken, PA 19428

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