Laura A. Brown
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 Brown, who also goes by Laura Ann Krupa, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1997. Laura had worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2022 - July 31, 2024
THE ADVISORY & PLANNING GROUP, INC.
August 21, 2020 - December 1, 2022
COLUMBIA ADVISORY PARTNERS, LLC
November 2, 2018 - July 30, 2020
OSAIC WEALTH, INC.
November 2, 2018 - July 30, 2020
OSAIC WEALTH, INC.
January 10, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
June 28, 2011 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 24, 1997 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, 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 7TO
Date: 2/28/2024
General Securities Representative ExaminationCurrent Firm
THE ADVISORY & PLANNING GROUP, INC.
CRD#: 323821 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 6,000,000 |
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.
