Laurie Rollberg
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.
Laurie Rollberg, who also goes by Laurie Ann Morehead, Laurie Ann Rollberg, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1985. Laurie had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2018 - August 19, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2018 - August 19, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2013 - August 17, 2018
BB&T SECURITIES, LLC
July 27, 2012 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 2, 2010 - July 9, 2012
FIRST CITIZENS INVESTOR SERVICES, INC.
October 26, 2006 - September 25, 2009
FIRST HORIZON ADVISORS, INC.
March 14, 2005 - August 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
September 8, 2004 - February 14, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 24, 2003 - June 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - March 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 21, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
April 29, 1996 - September 6, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 5, 1994 - June 12, 1995
SOUTHTRUST SECURITIES, LLC
May 18, 1992 - November 5, 1992
MORGAN KEEGAN & COMPANY, LLC
November 20, 1989 - March 7, 1991
WACHOVIA SECURITIES, INC.
July 23, 1985 - April 8, 1989
T. J. RANEY & SONS, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
