Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lauralea? Claim Your ProfileLauralea Pfendler has been a registered financial professional for over 15 years. Lauralea is currently registered with Raymond James Financial Services Advisors, Inc. and previously worked at Robert W. Baird & Co. Incorporated, J.J.B. Hilliard, W.L. Lyons, LLC, Silber Bennett Financial, Inc., Quest Capital Strategies, Inc., Arete Wealth Management, LLC, ARI Financial Services, Inc., Orchard Securities, LLC and Burch & Company, Inc. Lauralea Pfendler has worked in Lexington, Kentucky and has held several roles in the financial industry, including Financial Advisor and Investment Advisor Representative. Lauralea Pfendler is a licensed investment professional and has Series 63, Series 65, Series 7, Series 22, Series 24, Series 39 and Series 99TO 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.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
KY
01/19/2024 - Present
Raymond James Financial Services Advisors, Inc. (Lexington KY)
KY
10/18/2019 - 01/10/2024
ROBERT W. BAIRD & CO. INCORPORATED (LEXINGTON KY)
KY
07/09/2018 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LEXINGTON KY)
CA
03/17/2016 - 06/28/2017
SILBER BENNETT FINANCIAL, INC. (ENCINO CA)
CA
02/26/2014 - 10/01/2014
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
IL
01/03/2014 - 02/19/2014
ARETE WEALTH MANAGEMENT, LLC (CHICAGO IL)
CA
06/14/2010 - 12/31/2013
ARI FINANCIAL SERVICES, INC. (FOUNTAIN VALLEY CA)
UT
01/02/2008 - 09/09/2008
ORCHARD SECURITIES, LLC (Pleasant Grove UT)
CA
07/26/2006 - 11/14/2007
ARI FINANCIAL SERVICES, INC. (SAN CLEMENTE CA)
CA
07/08/2005 - 08/29/2006
BURCH & COMPANY, INC (SAN CLEMENTE CA)
IA
Issued 10/08/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/18/2010
Series 24 - General Securities Principal Examination
BC
Issued 12/02/2006
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2007
Series 7 - General Securities Representative Examination
BC
Issued 07/07/2005
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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