Laura Cayton
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 Cayton, who also goes by Laura A Cayton, Laura Cayton, Laura Ann Cayton, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2000. Laura had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2024 - July 22, 2026
J.P. MORGAN SECURITIES LLC
August 30, 2024 - July 22, 2026
J.P. MORGAN SECURITIES LLC
October 25, 2013 - November 29, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2013 - November 29, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2013 - October 11, 2013
MORGAN STANLEY
January 3, 2013 - October 11, 2013
MORGAN STANLEY
May 5, 2011 - January 11, 2013
UBS FINANCIAL SERVICES INC.
May 5, 2011 - January 11, 2013
UBS FINANCIAL SERVICES INC.
June 1, 2009 - May 5, 2011
MORGAN STANLEY
June 1, 2009 - May 5, 2011
MORGAN STANLEY
November 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 5, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 1, 2003 - November 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 2, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 24, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 9, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 27, 2000 - May 21, 2001
TUCKER ANTHONY INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
