Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laura? Claim Your ProfileLaura Anne Sullivan is a financial advisor with over 30 years of experience in the industry. Laura has been registered with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc. since 2024. Laura has a wide range of experience, including working with individuals, businesses, and institutions. Laura holds licenses in securities, investment advisory, and several other areas. Laura is committed to providing her clients with the highest quality of service and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
04/30/2024 - Present
Raymond James & Associates, Inc. (Palm Harbor FL)
FL
05/11/2021 - 03/31/2023
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NC
08/28/2018 - 06/21/2019
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
FL
07/02/2018 - 08/10/2018
WELLS FARGO CLEARING SERVICES, LLC (FORT LAUDERDALE FL)
FL
10/20/2017 - 01/17/2018
WELLS FARGO CLEARING SERVICES, LLC (FORT LAUDERDALE FL)
FL
07/29/2013 - 07/25/2017
WELLS FARGO CLEARING SERVICES, LLC (FORT LAUDERDALE FL)
FL
10/01/2000 - 10/18/2011
WELLS FARGO ADVISORS, LLC (MELBOURNE FL)
NC
01/31/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
03/11/1992 - 01/29/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/01/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/22/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 07/09/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/13/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/05/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2006
Series 3 - National Commodity Futures Examination
BC
Issued 03/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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