Laura A. Burback
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 Anne Burback, who also goes by Laura A Burback, Laura Anne Butler, Laura Anne Butler-burback, Laura A Butlerburback, Laura Burback, Laura A Butler, Laura Butler, Laura A Butler-burback, Laura Butler-burback, Laura Anne Butlerburback, Laura Butlerburback, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1983. Laura had worked at 8 firms and has passed the 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
May 20, 2022 - April 3, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 2022 - April 3, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
August 7, 2017 - May 23, 2022
EDWARD JONES
July 9, 2010 - May 23, 2022
EDWARD JONES
December 9, 2006 - July 8, 2010
CETERA INVESTMENT SERVICES LLC
November 22, 2002 - December 15, 2006
FINTEGRA, LLC
June 25, 2001 - November 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 1998 - November 25, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 1998 - May 26, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 1998 - May 4, 1998
RBC CAPITAL MARKETS, LLC
January 21, 1986 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 9, 1983 - November 25, 1985
KAISER AND COMPANY
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
