LD
Laura J. Dearth
UNITED BROKERAGE SERVICES,
Parkersburg, WV 26101
Some features on this profile are disabled
CRD#: 2057524
LD
Professional summary
Laura Johnson Dearth, who also goes by Laura Dawn Johnson, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Parkersburg, West Virginia.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Laura has worked at 5 firms and has passed the Series 66, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Dawn Johnson
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.
- Blennerhassett Hotel - Not investment related - 320 Market St, Parkersburg WV, 26101 - hotel - Guess Services - Front desk clerk - December 2023 - 30 hours per month, working weekends only - Greeting guests, check in/checkout guests. -
CRS (Client Relationship Summary) - RIA
Click below to view Laura Johnson Dearth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura Johnson Dearth'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®
NoneExperience
Current
February 12, 2024 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 514 Market Street, Parkersburg, WV 26101RIA
BD
CRD#: 39062
Parkersburg, WV
Current
February 6, 2024 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 514 Market Street, Parkersburg, WV 26101RIA
BD
CRD#: 39062
Parkersburg, WV
Past
August 31, 2022 - June 21, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ALEXANDRIA, VA
Past
July 13, 2022 - June 20, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
June 1, 2021 - March 1, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
May 20, 2021 - February 10, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
JACKSONVILLE, FL
Past
June 1, 2009 - January 5, 2021
MORGAN STANLEY
RIA
CRD#: 149777
ALEXANDRIA, VA
Past
June 1, 2009 - January 5, 2021
MORGAN STANLEY
BD
CRD#: 149777
ALEXANDRIA, VA
Past
March 9, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GAINESVILLE, VA
Past
October 22, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GAINESVILLE, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
West Virginia(2/6/2024)
IAR
West Virginia(2/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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
UNITED BROKERAGE SERVICES, INC
CRD#: 39062Parkersburg, WV 26101TRUST BUT VERIFY
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