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Laura Ellen Kaster

CRD# 2416275·Registered 1999 - 2016
Previously Registered: Being a previously registered professional could mean that Laura 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.

Professional Summary

Laura Ellen Kaster, who also goes by Kaster, was a registered financial advisor. Laura was a previously registered financial professional and started their career in finance 1999 - 2016. Laura had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 87 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kaster

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

OLIVETREE FINANCIAL, LLC·CRD# 154026
BD
New York, NY
July 30, 2015 - January 25, 2016
SANDLER, O'NEILL & PARTNERS, L.P.·CRD# 23328
BD
New York, NY
April 27, 2004 - November 4, 2009
PIPER SANDLER & CO.·CRD# 665
BD
Minneapolis, MN
April 26, 2002 - April 22, 2004
ABN AMRO INCORPORATED·CRD# 15776
BD
Stamford, CT
July 14, 1999 - April 18, 2002
JOHN G. KINNARD AND COMPANY, INCORPORATED·CRD# 466
BD
Minneapolis, MN
January 1, 1999 - March 30, 1999

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Current Firm

OF
OLIVETREE FINANCIAL, LLC

OLIVETREE FINANCIAL, LLC | OLIVETREE USA, LLC

CRD#: 154026 / SEC#: 8-68603
BD
Terminated by SEC on 02/21/2022

Contact Information

Established

Delaware since 12/15/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVETREE GROUP LIMITEDSHAREHOLDER/ MEMBER—
KUTNER, DARYN MICHAELCEO & CCO5279440
KUTNER, DARYN MICHAELEXECUTIVE CHAIRMAN AND FOUNDER5279440

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 2015About the Series 7 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Feb 2005About the Series 87 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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