LS
Laura T. Sword
CHRISTOPHER WEIL & COMPANY
San Diego, CA 92130
Some features on this profile are disabled
CRD#: 1370406
LS
Professional summary
Laura Theresa Sword, who also goes by Laura Theresa Gordon, Laura Theresa Graden, is a registered financial advisor currently at CHRISTOPHER WEIL & COMPANY, INC. located in San Diego, California.
Laura is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Laura has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 24, Series 27 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Theresa Gordon | Laura Theresa Graden
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.
CWC ASSET ADVISORS, INC., (CWCAA) IS A NON INVESTMENT RELATED AFFILIATE OF CHRISTOPHER WEIL & COMPANY, INC. (CWC), AND IS UNDER COMMON OWNERSHIP WITH CWC. CWCAA CONDUCTS BUSINESS AT THE SAME LOCATION AS CWC AND ACTS AS A CORPORATE GENERAL PARTNER AND/OR MANAGING MEMBER OF SEVERAL PRIVATE PLACEMENT LIMITED PARTNERSHIPS AND/OR LIMITED LIABILITY COMPANIES. I BECAME AFFILIATED WITH CWCAA IN 2000 AND BECAME THE CFO ON 1/1/05. WHILE I SPEND VARIOUS AMOUNTS OF TIME, ALL CONCURRENT WITH MY WORK WITH CWC, AS NEEDED MANAGING DAY TO DAY OPERATIONS OF THE VARIOUS ENTITIES, I ESTIMATE THAT I SPEND 15% OF MY TIME RELATED TO CWCAA ACTIVITIES DURING TRADING HOURS.
STORAGE MANAGERS, INC (SMI) IS AN AFFILIATE OF CHRISTOPHER WEIL & COMPANY, INC. (CWC), AND IS UNDER 82.5% COMMON OWNERSHIP WITH CWC. SMI CONDUCTS BUSINESS AT THE SAME LOCATION AS CWC AND ACTS AS A CORPORATE GENERAL PARTNER OF SEVERAL PRIVATE PLACEMENT LIMITED PARTNERSHIPS. I BECAME AFFILIATED WITH SMI IN 1991 AND BECAME THE CFO ON 1/1/08. WHILE I SPEND VARIOUS AMOUNTS OF TIME, ALL CONCURRENT WITH MY WORK WITH CWC, AS NEEDED MANAGING DAY TO DAY OPERATIONS OF THE VARIOUS ENTITIES, I ESTIMATE THAT I SPEND 10% OF MY TIME RELATED TO SMI ACTIVITIES DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Laura Theresa Sword's 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®
NoneExperience
Current
October 26, 2015 - Present
CHRISTOPHER WEIL & COMPANY, INC.
Office #1: 11236 El Camino Real Suite 200, San Diego, CA 92130RIA
CRD#: 22090
San Diego, CA
Past
June 2, 1994 - November 30, 2015
CHRISTOPHER WEIL & COMPANY, INC.
BD
CRD#: 22090
SAN DIEGO, CA
Past
April 6, 1987 - December 31, 1992
BROKERS INVESTMENT CORPORATION
BD
CRD#: 16607
CANOGA PARK, CA
Past
September 16, 1985 - August 26, 1986
CHRISTOPHER WEIL & COMPANY, INC
BD
CRD#: 6566
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".
CW
CHRISTOPHER WEIL & COMPANY, INC.
CHRISTOPHER WEIL & CO INC | THE WEIL COMPANY | ELL-CAP SECURITIES, INC | CHRISTOPHER WEIL & COMPANY, INC.
CRD#: 22090 / SEC#: 801-42757, 8-39523
RIA
Registered Investment Advisory firm - SEC (11/25/1992 Approved)BD
Terminated by SEC on 11/29/2015
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(10/26/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CW
CHRISTOPHER WEIL & COMPANY, INC.
CHRISTOPHER WEIL & CO INC | THE WEIL COMPANY | ELL-CAP SECURITIES, INC | CHRISTOPHER WEIL & COMPANY, INC.
CRD#: 22090 / SEC#: 801-42757, 8-39523
RIA
Registered Investment Advisory firm - SEC (11/25/1992 Approved)BD
Terminated by SEC on 11/29/2015
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Contact information
Main Address
11236 El Camino Real Suite 200, San Diego, CA 92130
Mailing Address
Phone number
(858) 724-6040
Established
California since 03/04/1988
Firm type
Corporation
Fiscal year end
September
# of Employees
21
SEC notice filing (13 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CW-CW 2009 IRREVOCABLE TRUST | OWNER | |
| CW-KW 2009 IRREVOCABLE TRUST | OWNER | |
| CW-MW 2009 IRREVOCABLE TRUST | OWNER | |
| PW-CW 2009 IRREVOCABLE TRUST | OWNER | |
| PW-KW 2009 IRREVOCABLE TRUST | OWNER | |
| PW-MW 2009 IRREVOCABLE TRUST | OWNER | |
| GORDON, LAURA THERESA | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 1370406 |
| WEIL, CHRISTOPHER FRANCIS | CHAIRMAN, TREASURER | 461585 |
| WELLS, JOHN VIANNEY | PRESIDENT & CEO, COMPLIANCE OFFICER CORPORATE: SECRETARY | 2139802 |
Regulatory assets under management
| Total Number of Accounts | 1,515 |
| AUM (Assets Under Management) | $ 823,560,128 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2025 | ||
| 02/26/2024 | ||
| 04/06/2023 |
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.
