Laurie M. Tillinghast
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.
Laurie Malcolm Tillinghast, who also goes by Laurie Malcolm Leblanc, Laurie E Malcolm, Laurie Ellen Malcolm, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1979. Laurie had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2010 - May 21, 2019
UBS FUND SERVICES (USA) LLC
June 21, 2007 - April 27, 2009
ING INVESTMENT MANAGEMENT SERVICES LLC
February 7, 1997 - September 22, 2000
AETNA FINANCIAL SERVICES, INC.
February 14, 1996 - April 27, 2007
VOYA FINANCIAL PARTNERS, LLC
September 20, 1995 - January 16, 1996
G. R. PHELPS & CO., INC.
November 20, 1991 - August 24, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 5, 1989 - October 23, 1991
CIGNA CAPITAL BROKERAGE, INC.
October 22, 1979 - May 5, 1989
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: 10/11/1979
Registered Representative ExaminationCurrent Firm
UBS FUND SERVICES (USA) LLC
CRD#: 41848 / SEC#: , 8-49596
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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