Laron H. Rowbury
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.
Laron Hill Rowbury was a registered financial advisor .
Laron is a previously registered financial advisor and started their career in finance in 1979. Laron had worked at 10 firms and has passed the 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
February 16, 2012 - December 7, 2016
SECURITIES AMERICA, INC.
January 4, 2008 - October 29, 2010
QA3 FINANCIAL LLC
March 22, 2006 - October 29, 2010
QA3 FINANCIAL CORP.
February 16, 2006 - December 31, 2007
EVERGREEN FINANCIAL SERVICES & INSURANCE, INC.
June 29, 2000 - February 28, 2006
BRECEK & YOUNG ADVISORS, INC.
December 12, 1996 - February 28, 2006
BRECEK & YOUNG ADVISORS, INC.
May 15, 1995 - December 9, 1996
FINANCE 500, INC.
January 3, 1994 - May 18, 1995
ROBERT SCOTT SECURITIES, INC.
August 9, 1984 - August 4, 1993
FOOTHILL SECURITIES, INC.
July 22, 1982 - August 10, 1984
PLANNED INVESTMENTS INC.
November 13, 1979 - April 28, 1982
WADDELL & REED
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: 11/3/1979
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
