Laura R. Hutter
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 R Hutter, who also goes by Laura Renee Bassett, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1988. Laura had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2015 - December 17, 2021
SCHWAB WEALTH ADVISORY, INC.
June 7, 2011 - April 1, 2015
CHARLES SCHWAB & CO., INC.
June 7, 2011 - December 17, 2021
CHARLES SCHWAB & CO., INC.
October 5, 2009 - May 5, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 21, 2008 - May 5, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 30, 2003 - September 8, 2005
CHARLES SCHWAB & CO., INC.
March 16, 1990 - September 8, 2005
CHARLES SCHWAB & CO., INC.
December 20, 1988 - March 12, 1990
UNIFIED FINANCIAL SECURITIES, LLC
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
Series 7TO
Date: 10/5/2022
General Securities Representative ExaminationSeries 8
Date: 5/29/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
