Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laura? Claim Your ProfileLaura Gates is a financial advisor who has been working in the financial services industry since 1998. Laura is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Laura also has experience working with Jackson National Life Distributors LLC, Morgan Stanley, Nationwide Investment Services Corporation, MDS Securities Incorporated, and Banc One Securities Corporation. Laura is a highly experienced financial advisor who is committed to helping clients achieve their financial goals. Laura is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
04/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
CO
06/15/2018 - 01/13/2021
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)
AR
10/29/2015 - 06/14/2018
MORGAN STANLEY (LITTLE ROCK AR)
OH
02/09/2000 - 08/20/2015
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
IN
01/30/1996 - 12/13/1996
MDS SECURITIES INCORPORATED (CARMEL IN)
IL
05/23/1994 - 06/30/1995
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
OH
06/11/1993 - 12/03/1993
THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)
IA
Issued 04/02/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/25/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2015
Series 7 - General Securities Representative Examination
BC
Issued 02/08/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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