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Detailed Report
LAUREN L WING
LAUREN L WING Ph.D., LAUREN LEE WING, Lauren Wingyee
CRD#: 5803987
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Previous Investment Adviser
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Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20122013201420152016201720182019202020212 FIRMS2016 - 2017 (1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - 2019 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2016 (3 years)
Disclosure(s)
View By:
9/10/2020
Regulatory
Final
4/2/2019
Employment Separation After Allegations
Previous Registration(s)
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 01/09/2018 - 04/05/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
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 05/03/2016 - 11/02/2017 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Beverly Hills, CA
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 05/03/2016 - 11/02/2017 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
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 06/27/2012 - 04/26/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SANTA MONICA, CA
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.