Laura A. Pernice
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 Ann Pernice, who also goes by Pernicenemeth Laura Ann, Laura Ann Green, Laura Ann Jessup, Laura A Pernice, Laura Pernice, Nemeth Laura Ann Pernice, Laura Ann Pernice-nemeth, Laura Ann Pernicenemeth, 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 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2017 - March 25, 2025
CHARLES SCHWAB & CO., INC.
July 7, 2017 - March 25, 2025
CHARLES SCHWAB & CO., INC.
July 10, 2014 - June 19, 2017
OSAIC SERVICES, INC.
June 27, 2014 - June 19, 2017
OSAIC SERVICES, INC.
October 23, 2013 - July 1, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 9, 2013 - July 1, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 24, 2007 - June 16, 2008
UBS FINANCIAL SERVICES INC.
June 21, 2004 - August 30, 2007
CITIGROUP GLOBAL MARKETS INC.
February 9, 2004 - June 17, 2004
IDS LIFE INSURANCE COMPANY
February 9, 2004 - June 17, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 2000 - November 25, 2002
CITIGROUP GLOBAL MARKETS INC.
November 16, 1993 - April 8, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 8
Date: 4/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
