Amber L. Durand
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.
Amber Leiahetta Durand, who also goes by Amber Durand, Amber Leiahetta Wallace, was a registered financial professional .
Amber is a previously registered financial professional and started their career in finance in 2015. Amber had worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2021 - December 14, 2021
LOCKTON INVESTMENT SECURITIES, LLC
May 7, 2015 - October 29, 2021
VANGUARD MARKETING CORPORATION
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 7TO
Date: 12/20/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/20/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
