Laura M. Davis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Laura Maria Davis, who also goes by Laura Maria Adams, Laura Maria Davis Mrs., was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1986. Laura had worked at 8 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1997 - February 15, 2012
SCOTTRADE, INC.
November 29, 1994 - October 9, 1995
THE SHEMANO GROUP, INC.
March 7, 1990 - March 15, 1993
CHARLES SCHWAB & CO., INC.
September 15, 1989 - February 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1988 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
January 14, 1987 - January 9, 1988
HAMBRECHT & QUIST LLC
June 30, 1986 - January 1, 1987
KIDDER, PEABODY & CO. INCORPORATED
May 21, 1986 - June 14, 1986
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
