Lauri P. Salverda

CASTLE ROCK FINANCIAL PLANNING

MENDOTA HEIGHTS, MN 55120

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CRD#: 1974014

Professional summary

Lauri Penney Salverda, AIF®, CFA, CFP®, who also goes by Lauri Kay Penney, is a registered financial advisor currently at CASTLE ROCK FINANCIAL PLANNING, INC. located in Mendota Heights, Minnesota.

Lauri is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Lauri has worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.

At a Glance

Always Fiduciary

Min. Asset: Under $50K

Services Offered

Comprehensive Financial Planning

Education Planning

Estate Planning

Socially Responsible Investing

Specializations

Business Owners

Corporate Executives

Estate & Generational Planning Issues

Investment Advice with Ongoing Management

Middle Income Client Needs

Retirement Plan Investment Advice

Biography

Education
B.A., Economics, Bryn Mawr College, Bryn Mawr Pennsylvania

Professional Credentials
Chartered Financial Analyst, CFA
Certified Financial Planner, CFP
Certified Divorce Financial Analyst, CDFA

Professional Associations
CFA Institute
Twin Cities Society of Security Analysts

National Association of Personal Financial Advisors
Financial Planning Association
Collaborative Law Institute

Aliases

Lauri Kay Penney

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lauri Penney Salverda'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®

AIF^®

Accredited Investment Fiduciary

CFA

Chartered Financial Analyst

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

March 30, 2015 - Present

CASTLE ROCK FINANCIAL PLANNING, INC.

Office #1: 2267 Waters Drive, Mendota Heights, MN 55120

RIA

CRD#: 174507

MENDOTA HEIGHTS, MN

Past

January 1, 2015 - August 11, 2017

CLERESTORY ADVISORS, INC

RIA

CRD#: 148264

MENDOTA HEIGHTS, MN

Past

June 24, 2002 - January 28, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 3, 1989 - July 17, 1997

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

August 28, 1989 - November 3, 1989

FBS BROKERAGE SERVICES, INC.

CRD#: 15935

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

Minnesota
(3/30/2015)

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 66

Date: 7/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/2002

General Securities Representative Examination

Current Firm

CASTLE ROCK FINANCIAL PLANNING, INC.

CRD#: 174507 / SEC#:

Minnesota

Registered Investment Advisory firm - (1/12/2015 Approved)

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Contact information

Main Address

2267 Waters Drive, Mendota Heights, MN 55120

Mailing Address

Phone number

(651) 294-0013

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 60,358,103

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Lauri P. Salverda

Professional summary

At a Glance

Services Offered

Specializations

Biography

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lauri Penney Salverda's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLERESTORY ADVISORS, INC

UBS FINANCIAL SERVICES INC.

U.S. BANCORP INVESTMENTS, INC.

FBS BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2002

Series 63

Date: 10/13/1989

Series 7

Date: 6/21/2002

Current Firm

CASTLE ROCK FINANCIAL PLANNING, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CASTLE ROCK FINANCIAL PLANNING, INC.

TRUST BUT VERIFY

Contact information

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