GL
Gerald W. Laurain
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CRD#: 843872
GL
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.
Gerald William Laurain, AIF®, who also goes by Gerald W Laurain, Gerald Laurain, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1977. Gerald had worked at 13 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gerald W Laurain | Gerald Laurain
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.
Youth Villages; investment related; address - 3320 Brother Blvd, Memphis, TN 38133; nature of business is to help children and families live successfully; start date 5/4/17; Chief Investment Officer; 2 hours per month; 2 hours during trading hours; Vote on investment decisions made by consultant. Don't offer any direct recommendations.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
June 19, 2025 - September 8, 2025
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
MEMPHIS, TN
Past
June 18, 2025 - September 8, 2025
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
October 10, 2013 - April 10, 2024
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
MEMPHIS, TN
Past
April 11, 2012 - October 10, 2013
FTB ADVISORS, INC.
RIA
CRD#: 143830
MEMPHIS, TN
Past
February 24, 2012 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
MEMPHIS, TN
Past
April 19, 2007 - April 10, 2024
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
August 2, 2001 - March 26, 2007
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
January 2, 1997 - August 30, 2000
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
March 4, 1996 - January 2, 1997
THE CHICAGO CORPORATION
BD
CRD#: 1449
CHICAGO, IL
Past
December 15, 1994 - March 29, 1996
LAMBORN SECURITIES INCORPORATED
BD
CRD#: 17489
NEW YORK, NY
Past
February 18, 1993 - July 20, 1994
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
January 13, 1992 - August 11, 1992
ING FINANCIAL MARKETS LLC
BD
CRD#: 28872
NEW YORK, NY
Past
January 1, 1991 - February 4, 1993
ROSENTHAL GLOBAL SECURITIES LLC
BD
CRD#: 19721
CHICAGO, IL
Past
July 23, 1987 - February 24, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
August 5, 1980 - September 24, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
January 31, 1980 - August 25, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
October 12, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 9/24/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/8/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
165 Madison Avenue 3rd Floor, Memphis, TN 38117
Mailing Address
165 Madison Avenue 14th Floor, Memphis, TN 38103
Phone number
(901) 818-6000
Established
Tennessee since 10/24/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
239
SEC notice filing (40 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
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.
