Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laurie? Claim Your ProfileLaurie King is a financial advisor with over 18 years of experience in the industry. Currently, Laurie is a registered representative with Raymond James & Associates, Inc. Laurie has a proven track record of success in providing financial planning and investment management services to a wide range of clients. Laurie is dedicated to helping clients achieve their financial goals and is committed to providing personalized service. Laurie has also worked at several other firms, including PURSHE KAPLAN STERLING INVESTMENTS, MORGAN STANLEY, MORGAN STANLEY & CO. INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and CITIGROUP GLOBAL MARKETS INC.
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
CA
10/23/2015 - Present
Raymond James & Associates, Inc. (PALM DESERT CA)
CA
07/10/2014 - 10/21/2015
PURSHE KAPLAN STERLING INVESTMENTS (PALM DESERT CA)
CA
06/01/2009 - 05/08/2014
MORGAN STANLEY (PALM DESERT CA)
CA
09/12/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM DESERT CA)
CA
03/07/2007 - 09/15/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (INDIAN WELLS CA)
CA
10/27/2006 - 02/26/2007
CITIGROUP GLOBAL MARKETS INC. (PALM DESERT CA)
NJ
07/18/2005 - 07/10/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
08/02/2004 - 04/04/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 09/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/17/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2004
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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