Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laura? Claim Your ProfileLaura Casey Lake is a financial advisor with over 15 years of experience in the industry. Laura is currently registered with UBS Financial Services Inc. and has been with the firm since 2013. Laura specializes in providing financial planning, portfolio management, and other advisory services to a wide range of clients, including individuals, families, businesses, and charitable organizations. Laura has held previous positions with UBS Financial Services Inc., and Morgan Stanley Smith Barney. Laura is committed to providing her clients with personalized financial advice and guidance to help 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.
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.
See schedule d - miscellaneous
1
2
MA
09/06/2018 - Present
UBS Financial Services Inc. (ROCKLAND MA)
KY
02/26/2013 - 10/14/2016
UBS FINANCIAL SERVICES INC. (LOUISVILLE KY)
TN
04/23/2010 - 04/30/2012
MORGAN STANLEY SMITH BARNEY (FRANKLIN TN)
TN
07/20/2004 - 04/06/2010
UBS FINANCIAL SERVICES INC. (FRANKLIN TN)
BOTH
Issued 10/25/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/18/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/26/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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