Laura Dean Townsend
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 Dean Townsend, who also goes by Laura Townsend, Laura Dean Townsend, Laura Dean Vansickle, was a registered financial professional .
Laura Dean is a previously registered financial professional and started their career in finance in 1993. Laura Dean had worked at 10 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 6, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2024 - July 8, 2025
UBS SECURITIES LLC
January 14, 2019 - May 29, 2024
CREDIT SUISSE SECURITIES (USA) LLC
May 19, 2006 - July 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 2004 - June 1, 2005
LYNCH, JONES & RYAN LLC
June 28, 2004 - June 1, 2005
NASDAQ CAPITAL MARKETS ADVISORY LLC
June 28, 2004 - June 1, 2005
INSTINET, LLC
June 28, 2004 - June 1, 2005
INET ATS, INC.
June 28, 2004 - June 1, 2005
NOMURA SECURITIES NORTH AMERICA, LLC
June 21, 2004 - June 1, 2005
INSTINET, LLC
July 13, 2001 - June 2, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1993 - November 9, 1993
PRUCO SECURITIES, LLC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
Red Flags
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