Laurie F. Lougher
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.
Laurie Ferrara Lougher, who also goes by Laurie Ann Ferrara, Laurie Ann Zarcone, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1981. Laurie had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2013 - July 6, 2017
STONEX SECURITIES INC.
November 24, 2009 - July 22, 2013
TRIAD ADVISORS LLC
March 29, 2005 - November 24, 2009
MORGAN KEEGAN & COMPANY, LLC
March 23, 2005 - November 24, 2009
MORGAN KEEGAN & COMPANY, LLC
March 25, 2004 - April 1, 2005
A. G. EDWARDS & SONS, INC.
January 21, 2004 - April 1, 2005
A. G. EDWARDS & SONS, INC.
July 29, 1987 - August 25, 1987
JW GENESIS CLEARING CORP.
February 6, 1987 - July 21, 1987
UBS FINANCIAL SERVICES INC.
November 5, 1986 - January 6, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 1986 - July 28, 1986
GRUNTAL & CO., L.L.C.
June 6, 1984 - February 13, 1986
JW GENESIS CLEARING CORP.
April 13, 1981 - November 14, 1983
JW GENESIS CLEARING CORP.
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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
