Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laura? Claim Your ProfileLaura Pennington is an investment advisor representative with Rockefeller Financial LLC. She is also registered as a registered representative. Laura has been in the financial industry since October 8, 1991. Her professional experience includes previous roles at UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., CIBC World Markets Corp., Salomon Smith Barney Inc., and Paine Webber Incorporated. Laura has a broad range of experience and specializes in financial planning, pension consulting, and portfolio management for individuals and businesses. She is registered to provide investment advice in several states, including Texas and Virginia, and holds the Series 3, 7, and 63 licenses.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
GA
10/13/2023 - Present
Rockefeller Financial LLC (ATLANTA GA)
DC
02/12/2009 - 02/11/2020
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
04/02/2007 - 02/13/2009
MORGAN STANLEY & CO. INCORPORATED (WASHINGTON DC)
DC
07/12/2001 - 04/02/2007
MORGAN STANLEY DW INC. (WASHINGTON DC)
NY
04/10/2000 - 05/01/2001
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
06/21/1994 - 04/07/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
02/15/1994 - 06/10/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NJ
05/02/1991 - 11/29/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 07/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1994
Series 3 - National Commodity Futures Examination
BC
Issued 05/01/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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