Laura M. Gantenbein
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 Gantenbein, who also goes by Laura Maria Cappuccio, Laura Cappuccio, Laura Maria Cappuccio Gantenbein, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1983. Laura had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2010 - December 31, 2012
AVANTAX ADVISORY SERVICES
March 3, 2008 - December 31, 2018
AVANTAX INVESTMENT SERVICES, INC.
October 12, 2005 - April 3, 2006
WADDELL & REED
July 5, 2005 - April 3, 2006
WADDELL & REED
May 7, 2004 - June 29, 2005
AMERIPRISE ADVISOR SERVICES, INC.
June 8, 2000 - October 23, 2003
PURSHE KAPLAN STERLING INVESTMENTS
November 6, 1997 - June 5, 2000
1ST GLOBAL CAPITAL CORP.
October 21, 1994 - November 4, 1997
PRIME CAPITAL SERVICES, INC.
August 29, 1991 - November 11, 1992
INVEST FINANCIAL CORPORATION
January 14, 1988 - December 12, 1989
NATHAN & LEWIS SECURITIES, INC.
July 1, 1986 - November 14, 1986
MONY SECURITIES CORPORATION
March 7, 1986 - July 7, 1986
SIGNATOR INVESTORS, INC.
June 19, 1985 - February 18, 1986
UBS FINANCIAL SERVICES INC.
October 5, 1984 - May 6, 1985
INVEST FINANCIAL CORPORATION
August 29, 1984 - September 17, 1984
TUCKER ANTHONY INCORPORATED
August 23, 1983 - July 13, 1984
PRUDENTIAL EQUITY GROUP, LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
