Stephen R. Laut
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.
Stephen Richard Laut was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1975. Stephen had worked at 11 firms and has passed the Series 65, Series 63, SIE, 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
April 10, 2014 - December 28, 2015
CUE FINANCIAL GROUP, INC.
April 8, 2014 - December 28, 2015
FOOTHILL SECURITIES, INC.
February 14, 2011 - June 11, 2013
PIMCO INVESTMENTS LLC
December 17, 2002 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
May 31, 2001 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 22, 1990 - June 26, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
November 19, 1989 - February 8, 1990
OSAIC WEALTH, INC.
April 16, 1985 - February 7, 1990
INTEGRATED RESOURCES MARKETING, INC.
January 5, 1982 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 12, 1977 - October 1, 1981
PLANNED INVESTMENTS INC.
September 17, 1975 - August 28, 1977
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 9/13/1975
Registered Representative ExaminationCurrent Firm
CUE FINANCIAL GROUP, INC.
CRD#: 21033 / SEC#: 801-66538, 8-38647
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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