Laureen M. Farley
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.
Laureen May Farley, who also goes by Laureen Wong, Laureen May Yoshiura, was a registered financial professional .
Laureen is a previously registered financial professional and started their career in finance in 1979. Laureen had worked at 7 firms and has passed the Series 63, Series 7, Series 52, Series 4 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1988 - February 28, 1989
FIRST EAGLE, INC.
July 3, 1986 - July 13, 1988
ROYCE PARK INVESTMENTS, INC.
January 2, 1985 - July 16, 1986
AMERICAN FRONTEER FINANCIAL CORPORATION
May 6, 1982 - February 15, 1985
CHESLEY AND DUNN, INC.
March 29, 1982 - April 5, 1982
WINDSOR REYNOLDS SECURITIES, INC.
December 17, 1981 - April 1, 1982
AMERICAN WESTERN SECURITIES, INC.
June 23, 1981 - October 8, 1983
FIRST HONOLULU SECURITIES, INC.
November 5, 1979 - October 8, 1983
FIRST HONOLULU SECURITIES, 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
F04
Date: 10/21/1980
Financial Principal ExaminationCurrent Firm
FIRST EAGLE, INC.
CRD#: 16509 / SEC#: , 8-34079
Contact information
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.
