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LP

Laura Provenzale

NORTH POINT MERGERS AND ACQUISITIONS
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 2636959
LP

Professional summary

Laura Provenzale is a registered financial professional currently at NORTH POINT MERGERS AND ACQUISITIONS, INC. located in San Francisco, California.

Laura is registered as a RR (Registered Representative) and started their career in finance in 1995. Laura has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Laura Provenzale's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 18, 2018 - Present

NORTH POINT MERGERS AND ACQUISITIONS, INC.

Office #1: 580 California Street, Suite 2200, San Francisco, CA 94104
BD
CRD#: 133300
San Francisco, CA
Past

January 9, 2014 - July 6, 2017

WILLIAM BLAIR

BD
CRD#: 1252
SAN FRANCISCO, CA
Past

November 15, 2007 - December 24, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
SAN FRANCISCO, CA
Past

February 20, 2004 - October 12, 2007

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

February 26, 2002 - April 23, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

October 1, 1997 - February 22, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 16, 1997 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

November 16, 1995 - April 18, 1997

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/18/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/1/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/18/2008
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

NP
NORTH POINT MERGERS AND ACQUISITIONS, INC.
NORTH POINT ADVISORS, INC. | NORTH POINT MERGERS AND ACQUISITIONS, INC. | NORTH POINT ADVISORS, LLC

CRD#: 133300 / SEC#: , 8-66709

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
580 California Street, Suite 2200, San Francisco, CA 94104
Mailing Address
580 California Street, Suite 2200, San Francisco, CA 94104
Phone number
(415) 358-3500
Established
Delaware since 12/19/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH POINT LLCOWNER ENTITY
COLE, GARRISON ALLENCO-CFO7895314
JACQUIN, DAVID M JRCEO, CCO, POO, PFO2380441
POSTREL, HELENE BERSONFINOP2240945

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.

Company Information

NORTH POINT MERGERS AND ACQUISITIONS, INC.

CRD#: 133300San Francisco, CA 94104

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