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Detailed Report
LAUREN CONNOR SAGAN
LAUREN HASTINGS CONNOR, LAUREN CONNOR DAVIES
CRD#: 5997547
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 100 MARINE PARKWAY STE 215
REDWOOD CITY, CA 94065
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2021 - Present (3 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2014 - 2021 (6 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - 2021 (<1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2014 - 2020 (6 years)
License(s)

State Registrations

B
Arizona 8/17/2022
B
New Jersey 8/30/2021
B
California 6/14/2021
B
North Carolina 6/15/2021
IA
California 6/14/2021
B
Ohio 7/20/2021
B
Hawaii 7/28/2021
B
Oregon 6/14/2021
B
Minnesota 6/14/2021
B
Tennessee 7/23/2021
B
Nevada 6/14/2021
B
Washington 8/20/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
100 MARINE PARKWAY STE 215, REDWOOD CITY, CA 94065
Registered with this firm since 6/14/2021
B
LPL FINANCIAL LLC (CRD#:6413)
100 MARINE PARKWAY STE 215, REDWOOD CITY, CA 94065
Registered with this firm since 6/14/2021
Previous Registration(s)
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IA
 11/12/2020 - 06/14/2021 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) REDWOOD SHORES, CA
B
 07/02/2014 - 06/14/2021 FIRST ALLIED SECURITIES, INC. (CRD#:32444) REDWOOD SHORES, CA
IA
 08/26/2014 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) REDWOOD SHORES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.