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LH

Lauren B. Hiller

FALCON SQUARE CAPITAL
RALEIGH, NC 27607
Some features on this profile are disabled
CRD#: 7337987
LH

Professional summary

Lauren Brooke Hiller is a registered financial professional currently at FALCON SQUARE CAPITAL, LLC located in Raleigh, North Carolina.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2023. Lauren has worked at 1 firm and has passed the Series 63, Series 52TO, Series 7TO 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 Lauren Brooke Hiller'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

February 20, 2023 - Present

FALCON SQUARE CAPITAL, LLC

Office #1: 3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
BD
CRD#: 165225
RALEIGH, NC

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
California
(12/22/2023)
RR
Massachusetts
(12/22/2023)
RR
New York
(12/22/2023)
RR
North Carolina
(2/20/2023)
RR
Ohio
(12/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 10/18/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/5/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FALCON SQUARE CAPITAL, LLC
FALCON SQUARE CAPITAL, LLC | HCG

CRD#: 165225 / SEC#: , 8-69147

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

Main Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Mailing Address
3701 Lake Boone Trail Suite 100, Raleigh, NC 27607
Phone number
(919) 825-1534
Established
North Carolina since 04/02/2012
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#
PENDERGRASS, MELISSA JOINESCEO, CFO, CCO5392765
CUNNINGHAM, SCOTT LINDSAYMEMBER4829676
WALL, BRAXTON CRAVENMEMBER5557276
WRIGHT, KEATON THOMASMEMBER5703087
PORTWOOD, WILLIAM BOYCEFINOP4853700

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

FALCON SQUARE CAPITAL, LLC

CRD#: 165225Raleigh, NC 27607

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