LP
Laura L. Piazza
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CRD#: 2203086
LP
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 L Piazza, who also goes by Laura Lynn Glass, Lynn Glass, Laura Lynn Piazza, Laura L Yeager, Laura Lynn Yeager, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1993. Laura had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Laura Lynn Glass | Lynn Glass | Laura Lynn Piazza | Laura L Yeager | Laura Lynn Yeager
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 2, 2022 - May 2, 2023
CAPTRUST
RIA
CRD#: 175112
Lake Success, NY
Past
August 2, 2022 - May 2, 2023
CAPFINANCIAL SECURITIES, LLC.
BD
CRD#: 126291
Lake Success, NY
Past
April 8, 2014 - November 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SANTA MONICA, CA
Past
April 8, 2014 - November 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SANTA MONICA, CA
Past
November 2, 2012 - March 27, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WESTLAKE VILLAGE, CA
Past
November 2, 2012 - March 27, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WESTLAKE VILLAGE, CA
Past
June 1, 2009 - November 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WESTLAKE VILLAGE, CA
Past
May 2, 2007 - November 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WESTLAKE VILLAGE, CA
Past
March 27, 2006 - March 15, 2007
ALETHEIA SECURITIES, INC.,
BD
CRD#: 44784
SANTA MONICA, CA
Past
February 27, 2006 - April 4, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
January 3, 2003 - March 2, 2006
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
September 6, 1996 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
April 20, 1995 - August 20, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 21, 1993 - December 22, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
Registered Investment Advisory firm - (7/11/2003 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CAPTRUST
1776 ADVISOR GROUP | WINDSOR FINANCIAL GROUP | WELCH HORNSBY, INC. | WEALTH COVENANT GROUP LLC | WATERMARK ASSET MANAGEMENT, INC. | TRUTINA FINANCIAL | TRUSTCORE FINANCIAL SERVICES, LLC | TRUNORTH WEALTH PARTNERS, LLC | THE JOHNSTON GROUP | STRATEGIC ADVISOR GROUP | STEWARDSHIP FINANCIAL ADVISORS, LLC | SOUTHERN WEALTH MANAGEMENT LLP | SOUTH TEXAS MONEY MANAGEMENT, LTD. | SHINE WEALTH PARTNERS | RINET COMPANY, LLC | REYNOLDS INVESTMENT MANAGEMENT INC | QUANTITATIVE ADVANTAGE, LLC | PWA WEALTH MANAGEMENT | PORTFOLIO EVALUATIONS, INC. | PARKER, CARLON & JOHNSON, INC. | OMEGA WEALTH PARTNERS, INC. | NEW MARKET WEALTH MANAGEMENT, LLC | NACHMAN NORWOOD & PARROTT, INC. | MRA ASSOCIATES | MORTON WEALTH MANAGEMENT LLC | MONROE VOS CONSULTING, INC. | MCQUEEN BALL & ASSOCIATES LLC | LAKESIDE WEALTH MANAGEMENT GROUP, LLC. | KNOX CAPITAL ADVISORS LLC | KAIROS PRIVATE WEALTH, INC | J.H. ELLWOOD & ASSOCIATES, INC. (ELLWOOD) | INTRUST FIDUCIARY GROUP | GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLC | FRONTIER WEALTH MANAGEMENT, LLC | FREEDOM 401K | FOUNTAIN FINANCIAL ASSOCIATES, INC. | FCE GROUP | FAMILY OFFICE RISK ADVISORS | ENGRAVE WEALTH PARTNERS LLC | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | DAVIDSON & GARRARD INC | DANDA TROUVE INVESTMENT MANAGEMENT, INC. | CRESCENT CAPITAL CONSULTING, LLC | COVENANT MULTI-FAMILY OFFICES, LLC (COVENANT) | CORNERSTONE CAPITAL ADVISORS | COLUMN CAPITAL ADVISORS, LLC | COBBLESTONE CAPITAL ADVISORS, LLC. | CATAWBA CAPITAL MANAGEMENT INC | CAROLINAS WEALTH CONSULTING LLC | CAPTRUST FINANCIAL ADVISORS | CAPTRUST ADVISORS LLC | CAPTRUST | CAPFINANCIAL PARTNERS, LLC | CAMPBELL WEALTH MANAGEMENT, INC. | CAMMACK RETIREMENT ADVISORS, LLC | BOSTON FINANCIAL MANAGEMENT LLC | AEVITAS WEALTH MANAGEMENT, INC.
CRD#: 175112 / SEC#: 801-62193
RIA
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Contact information
Main Address
4208 Six Forks Rd Suite 1700, Raleigh, NC 27609
Mailing Address
Phone number
(919) 870-6822
Established
Firm type
Fiscal year end
# of Employees
1,723
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 127,387 |
| AUM (Assets Under Management) | $ 1,083,051,008,644 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 10/25/2024 | ||
| 01/24/2024 | ||
| 01/03/2023 |
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.
