Richard E. Saintlaurent
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.
Richard Ernest Saintlaurent, who also goes by Richard E Saintlaurent, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 9 firms and has passed the Series 63, Series 7, Series 1 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
December 12, 1998 - June 20, 2000
AGES FINANCIAL SERVICES, LTD.
April 3, 1997 - December 23, 2019
SAINT-LAURENT ASSOCIATES
November 22, 1994 - November 30, 1998
INVESTORS CAPITAL CORP.
November 20, 1990 - December 5, 1994
F.J. GARBER & CO.
August 29, 1989 - December 5, 1990
MAIN STREET MANAGEMENT COMPANY
June 17, 1986 - September 7, 1989
LPL FINANCIAL LLC
March 13, 1980 - July 3, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 13, 1980 - July 9, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 1980 - July 9, 1986
IDS LIFE INSURANCE COMPANY
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 1
Date: 3/3/1980
Registered Representative ExaminationCurrent Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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