Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Laurie? Claim Your ProfileLaurie Thompson is a financial advisor in PEPPER PIKE, OH and has been in the industry since September 21, 1997. Laurie is currently registered with UBS Financial Services Inc. Laurie previously worked for TD Ameritrade, Inc., SCOTTRADE, INC., QUESTAR CAPITAL CORPORATION, USALLIANZ SECURITIES, INC., SECURITIES AMERICA, INC., ROYAL ALLIANCE ASSOCIATES, INC., and WALNUT STREET SECURITIES, INC. Laurie holds the Series 63, 66, 7, 11, and SIE licenses. Laurie holds a Notary Public License.
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
OH
12/11/2018 - Present
UBS Financial Services Inc. (PEPPER PIKE OH)
OH
02/26/2018 - 09/07/2018
TD AMERITRADE, INC. (CANTON OH)
OH
02/12/2009 - 02/26/2018
SCOTTRADE, INC. (CANTON OH)
OH
12/01/2006 - 02/12/2009
QUESTAR CAPITAL CORPORATION (CANTON OH)
OH
09/30/2005 - 12/01/2006
USALLIANZ SECURITIES, INC. (CANTON OH)
MN
02/17/2004 - 02/17/2004
USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)
NE
10/10/2003 - 02/17/2004
SECURITIES AMERICA, INC. (LAVISTA NE)
AZ
09/20/1997 - 06/19/2003
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
11/18/1996 - 05/14/1997
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CA
03/13/1995 - 11/25/1996
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
BOTH
Issued 02/28/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/09/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/07/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2005
Series 7 - General Securities Representative Examination
BC
Issued 03/10/1995
Series 11 - Assistant Representative-Order Processing Qualification Exam
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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