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Laura Jean Sweezey

Laura J. Sweezey

LAGUNA INVESTMENT SERVICES
Pembroke, MA
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CRD#: 1806165
Laura Jean Sweezey

Professional summary

Laura Jean Sweezey, CFP® is a registered financial advisor currently at LAGUNA INVESTMENT SERVICES located in Pembroke, Massachusetts.

Laura is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Laura has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
06/25/2003 - LAGUNA INVESTMENTS SERVICES 2. 01/07/08 - REAL ESTATE RENTAL - 2 CONDOMINIUMS: 2040 W. AVENUE J13 UNITS #2 & 4, LANCASTER, CA 93536 - 1% TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Jean Sweezey'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®
CFP®

Certified Financial Planner

Start date: 1993

Experience

Current

August 6, 2014 - Present

LAGUNA INVESTMENT SERVICES

RIA
CRD#: 146442
Pembroke, MA
Past

March 28, 2003 - February 26, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
LAGUNA HILLS, CA
Past

March 28, 2003 - February 26, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
LAGUNA HILLS, CA
Past

July 8, 1997 - March 18, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LOS ANGELES, CA
Past

September 27, 1995 - March 18, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 10, 1992 - July 24, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 4, 1988 - March 24, 1992

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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
(8/6/2014)
IAR
Florida
(11/8/2022)
IAR
Massachusetts
(1/2/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/15/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/1/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/25/2003
General Securities Principal Examination

Current Firm

LI
LAGUNA INVESTMENT SERVICES
LAGUNA INVESTMENT SERVICES | SWEEZEY, LAURA JEAN | LAURA JEAN SWEEZEY DBA LAGUNA INVESTMENT SERVICES

CRD#: 146442 / SEC#:

California
Registered Investment Advisory firm - (5/22/2008 Approved)
Florida
Registered Investment Advisory firm - (11/8/2022 Approved)
Massachusetts
Registered Investment Advisory firm - (1/2/2015 Approved)
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Contact information

Main Address
Pembroke, MA
Mailing Address
Phone number
(949) 388-8918
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts19
AUM (Assets Under Management)$ 2,284,111

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.

Company Information

LAGUNA INVESTMENT SERVICES

CRD#: 146442Pembroke, MA

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