Laura K. Roberts
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 Kay Roberts was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1986. Laura had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2014 - February 5, 2024
MORGAN STANLEY
July 15, 2014 - February 5, 2024
MORGAN STANLEY
May 7, 2013 - April 16, 2014
CG ADVISORY SERVICES
April 23, 2010 - July 16, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
August 1, 2008 - December 31, 2008
SYNERGY INVESTMENT GROUP, LLC
July 16, 2008 - December 31, 2008
SYNERGY INVESTMENT GROUP, LLC
January 3, 2008 - April 1, 2013
AMERICAN INVESTMENT SERVICES
May 6, 2004 - July 10, 2006
MORGAN STANLEY DW INC.
April 29, 2004 - July 10, 2006
MORGAN STANLEY DW INC.
October 1, 1999 - April 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - April 14, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 7, 1997 - April 26, 1999
RAYMOND JAMES & ASSOCIATES, INC.
May 31, 1989 - August 7, 1996
ADDISON FINANCIAL SERVICES, INC.
August 22, 1988 - April 18, 1989
NATIONSBANC SECURITIES OF GEORGIA, INC.
May 14, 1988 - July 28, 1988
LEHMAN BROTHERS INC.
April 25, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
