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LM

Laurence I. Mosse

BABCOCK & BROWN SECURITIES LLC
Cos Cob, CT 06807-2745
Some features on this profile are disabled
CRD#: 6618793
LM

Professional summary

Laurence Isabelle Mosse is a registered financial professional currently at BABCOCK & BROWN SECURITIES LLC located in Cos Cob, Connecticut.

Laurence is registered as a RR (Registered Representative) and started their career in finance in 2020. Laurence has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Laurence Isabelle Mosse'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

August 28, 2020 - Present

BABCOCK & BROWN SECURITIES LLC

Office #1: 29 River Road Suite 102, Cos Cob, CT 06807-2745
BD
CRD#: 169440
Cos Cob, CT

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
Connecticut
(6/24/2021)
RR
New York
(6/24/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/10/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/28/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

B&
BABCOCK & BROWN SECURITIES LLC
BABCOCK & BROWN SECURITIES LLC | BURNHAM STERLING SECURITIES LLC

CRD#: 169440 / SEC#: , 8-69368

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

Main Address
29 River Road Suite 102, Cos Cob, CT 06807-2745
Mailing Address
29 River Road Suite 102, Cos Cob, CT 06807-2745
Phone number
(203) 862-4857
Established
Connecticut since 09/16/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
B&B SECURITIES HOLDINGS LLCHOLDING COMPANY
COHANE, MARY EFINOP / CFO5626669
LEE, JOONHOCCO2900218
MORGAN, MICHAEL DICKEYEXECUTIVE MANAGING DIRECTOR3176778

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

BABCOCK & BROWN SECURITIES LLC

CRD#: 169440Cos Cob, CT 06807-2745

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