Laura E. Kaster
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 Ellen Kaster, who also goes by Kaster, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1999. Laura had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 87 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2015 - January 25, 2016
OLIVETREE FINANCIAL, LLC
April 27, 2004 - November 4, 2009
SANDLER, O'NEILL & PARTNERS, L.P.
April 26, 2002 - April 22, 2004
PIPER SANDLER & CO.
July 14, 1999 - April 18, 2002
ABN AMRO INCORPORATED
January 1, 1999 - March 30, 1999
JOHN G. KINNARD AND COMPANY, INCORPORATED
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
Current Firm
OLIVETREE FINANCIAL, LLC
CRD#: 154026 / SEC#: , 8-68603
Contact information
Documents
Disclosures
| Regulatory Event | 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.
