Sidney W. Lasley
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.
Sidney William Lasley, who also goes by S William Lasley, was a registered financial professional .
Sidney is a previously registered financial professional and started their career in finance in 1975. Sidney had worked at 8 firms and has passed the Series 63, Series 7, Series 1, Series 53, Series 4 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
April 16, 2002 - July 1, 2003
J.P. TURNER & COMPANY, L.L.C.
May 4, 1999 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
May 29, 1998 - June 11, 1998
GLOBAL CAPITAL SECURITIES CORPORATION
December 9, 1991 - December 19, 1995
CHATFIELD DEAN & CO., INC.
November 18, 1991 - December 11, 1991
M.C. FINANCIAL CORPORATION
June 26, 1979 - January 2, 1990
WALL STREET WEST, INC.
June 17, 1975 - July 21, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
June 17, 1975 - July 21, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 1975 - July 21, 1979
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: 6/13/1975
Registered Representative ExaminationCurrent Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
