Laura A. Simon

CAPITAL TRUST AND ASSOCIATES LLC

Woodbridge, CT

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CRD#: 1766631

Professional summary

Laura Ann Simon, who also goes by Laura A Stanton, Laura Ann Stanton, is a registered financial advisor currently at CAPITAL TRUST AND ASSOCIATES LLC located in Woodbridge, Connecticut.

Laura is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Laura has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Laura A Stanton | Laura Ann Stanton

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.

LAURA SIMON IS AN INDEPENDENT INSURANCE AGENT. SHE IS ALSO LICENSED TO SELL LONG-TERM CARE INSURANCE IN THE STATE OF CONNECTICUT. THESE OCCUPY APPROXIMATELY 4 HOURS PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Ann Simon's CRS (Customer Relationship Summary).

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 20, 1987 - January 23, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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

Connecticut
(8/7/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/18/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPITAL TRUST AND ASSOCIATES LLC

CAPITAL TRUST & ASSOCIATES | SAM ALAOUI | CODA CAPITAL | CAPITAL TRUST AND ASSOCIATES LLC | CAPITAL TRUST AND ASSOCIATES

CRD#: 168455 / SEC#:

Connecticut

Registered Investment Advisory firm - (8/7/2013 Approved)

New York

Registered Investment Advisory firm - (4/1/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Woodbridge, CT

Mailing Address

Phone number

(203) 745-2020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 14,603,763

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.

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Laura A. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Ann Simon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL TRUST AND ASSOCIATES LLC

LEGACY SQUARED, LLC

HERITAGE CAPITAL, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2012

Series 63

Date: 5/15/1997

Series 6

Date: 11/18/1987

Current Firm

CAPITAL TRUST AND ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL TRUST AND ASSOCIATES LLC

TRUST BUT VERIFY

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