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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Laurean Sue Nardone

Laurean S. Nardone

SHIRA RIDGE WEALTH MANAGEMENT
LARKSPUR, CA 94939
Some features on this profile are disabled
CRD#: 1131151
Laurean Sue Nardone

Professional summary

Laurean Sue Nardone, CFP®, who also goes by Laurean Sue Auger, Laurie Nardone, Laurean Sue Nardone-auger, is a registered financial advisor currently at SHIRA RIDGE WEALTH MANAGEMENT located in Larkspur, California.

Laurean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Laurean has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 24 and Series 39 exams.

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Life Transitions
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes

Aliases

Laurean Sue Auger | Laurie Nardone | Laurean Sue Nardone-Auger

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurean Sue Nardone's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1993

Experience

Current

October 3, 2000 - Present

SHIRA RIDGE WEALTH MANAGEMENT

Office #1: 100 Larkspur Landing Circle Suite #203, Larkspur, CA 94939
RIA
CRD#: 117627
LARKSPUR, CA
Past

August 24, 2012 - May 21, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
LARKSPUR, CA
Past

August 23, 2012 - May 21, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
LARKSPUR, CA
Past

December 20, 2005 - August 24, 2012

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
LARKSPUR, CA
Past

April 3, 2002 - August 24, 2012

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
LARKSPUR, CA
Past

January 1, 1999 - April 14, 2000

LORING WARD SECURITIES INC.

BD
CRD#: 46337
SAN JOSE, CA
Past

April 15, 1997 - January 1, 1999

REINHARDT WERBA BOWEN SECURITIES, INC.

BD
CRD#: 34202
SAN JOSE, CA
Past

November 21, 1994 - August 2, 1996

PLM SECURITIES CORP.

BD
CRD#: 7843
SAN FRANDISCO, CA
Past

August 29, 1984 - August 1, 1994

PHOENIX SECURITIES, INC.

BD
CRD#: 10507
SAN RAFAEL, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SR
SHIRA RIDGE WEALTH MANAGEMENT
PRIVATE WEALTH MANAGEMENT ADVISORY GROUP, INC. | THE SHIRA GROUP, INC. | SHIRA RIDGE WEALTH MANAGEMENT | PWMA GROUP

CRD#: 117627 / SEC#: 801-112766

RIA
Registered Investment Advisory firm - (4/4/2018 Approved)
California
Registered Investment Advisory firm - (7/30/2020 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(10/3/2000)
IAR
Nevada
(11/3/2025)
IAR
New York
(10/31/2025)
IAR
Oregon
(10/31/2025)
IAR
Texas
(3/11/2022)
IAR
Washington
(10/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/26/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/21/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/28/1984
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 11/3/1988
Direct Participation Programs Principal Examination

Current Firm

SR
SHIRA RIDGE WEALTH MANAGEMENT
PRIVATE WEALTH MANAGEMENT ADVISORY GROUP, INC. | THE SHIRA GROUP, INC. | SHIRA RIDGE WEALTH MANAGEMENT | PWMA GROUP

CRD#: 117627 / SEC#: 801-112766

RIA
Registered Investment Advisory firm - (4/4/2018 Approved)
California
Registered Investment Advisory firm - (7/30/2020 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
999 Fifth Avenue Suite 590, San Rafael, CA 94901
Mailing Address
Phone number
(415) 721-0275
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SHIRA RIDGE ADV 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts829
AUM (Assets Under Management)$ 323,442,194

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.

Company Information

SHIRA RIDGE WEALTH MANAGEMENT

CRD#: 117627Larkspur, CA 94939

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Contact information

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