Francis G. Lauro
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.
Francis Gerard Lauro was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1975. Francis had worked at 17 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - July 17, 2012
CHURCHILL CAPITAL USA, INC.
January 20, 2010 - December 15, 2011
MKM PARTNERS LLC
October 21, 2002 - January 15, 2010
FTN EQUITY CAPITAL MARKETS CORP.
July 27, 2001 - October 21, 2002
FHN FINANCIAL SECURITIES CORP.
February 5, 1999 - August 22, 2001
HCFP BRENNER SECURITIES, LLC
April 28, 1998 - February 5, 1999
LOEWENBAUM & COMPANY INCORPORATED
May 11, 1996 - November 14, 1997
AMERICAN SECURITIES BD CO., L.P.
April 2, 1993 - April 23, 1996
ALPINE ASSOCIATES, A LIMITED PARTNERSHIP
September 22, 1992 - May 25, 1993
LIPPER & COMPANY, L.P.
December 3, 1985 - May 25, 1993
LIPPER CONVERTIBLES, L.P.
December 12, 1979 - December 5, 1985
MORGAN STANLEY DW INC.
February 17, 1978 - December 22, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
June 20, 1977 - February 5, 1978
KUHN LOEB & CO. INCORPORATED
June 20, 1977 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
September 10, 1976 - May 18, 1977
PRESCOTT, BALL & TURBEN
May 6, 1976 - September 19, 1976
WILLIAM D. WITTER, INC.
June 25, 1975 - September 14, 1976
LAURO & COMPANY, INC.
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 55
Date: 12/11/1998
Limited Representative-Equity Trader ExamCurrent Firm
CHURCHILL CAPITAL USA, INC.
CRD#: 143278 / SEC#: , 8-67547
Contact information
FINRA licenses (7 States and Territories)
Documents
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.
