Laura S. Char
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 S Char, who also goes by Laura White Char, Laura White Schoos, Laura Sue White, Laura Sue Wilmer, Laura W Wilmer, Laura White Wilmer, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2000. Laura had worked at 13 firms and has passed the Series 65, Series 66, 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
February 24, 2017 - April 24, 2017
VOYA FINANCIAL ADVISORS, INC.
December 14, 2016 - April 24, 2017
VOYA FINANCIAL ADVISORS, INC.
June 5, 2014 - September 20, 2016
USAA FINANCIAL PLANNING SERVICES
June 3, 2014 - September 20, 2016
USAA FINANCIAL ADVISORS, INC.
August 30, 2013 - March 18, 2014
CUNA BROKERAGE SERVICES, INC.
August 22, 2013 - March 18, 2014
CUNA BROKERAGE SERVICES, INC.
June 29, 2011 - August 16, 2013
VOYA FINANCIAL ADVISORS, INC.
June 27, 2011 - August 16, 2013
VOYA FINANCIAL ADVISORS, INC.
July 29, 2010 - June 9, 2011
MSI FINANCIAL SERVICES, INC.
June 16, 2010 - June 9, 2011
MSI FINANCIAL SERVICES, INC.
January 3, 2007 - July 7, 2010
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 3, 2007 - July 7, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 29, 2006 - December 31, 2006
INVESTORS CAPITAL CORP.
August 27, 2004 - December 31, 2006
INVESTORS CAPITAL CORP.
February 2, 2004 - September 22, 2004
HIGH MARK SECURITIES, INC.
May 21, 2003 - January 12, 2004
NATIONWIDE SECURITIES, LLC
May 20, 2002 - March 10, 2003
ONEAMERICA SECURITIES, INC.
October 24, 2000 - January 29, 2002
EQUITABLE ADVISORS, LLC
August 10, 2000 - October 11, 2000
CETERA WEALTH SERVICES, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
