LM
Laura Maguire
KESTRA ADVISORY SERVICES
Southbury, CT 06488
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CRD#: 2847356
LM
Professional summary
Laura Maguire, who also goes by Laura Maguire Rodriguez, Laura Rodriguez, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Southbury, Connecticut and KESTRA INVESTMENT SERVICES, LLC located in Southbury, Connecticut.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Laura has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Maguire Rodriguez | Laura Rodriguez
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.
Business Name: Compass Capital Management LLC Investment Related: Yes Address: 2 Pomperaug Office Park Ste. 301 Southbury CT 06488 Nature of Business: Registered Field Assistant; Investment Advisory services through an independent outside RIA; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Planning Assistant Start Date: 9/1/2004 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Answer phones, assist clients, take orders and place trades, complete applications and forms. Business Name: Kestra Advisory Services LLC Investment Related: No Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Planning Assistant Start Date: 1/3/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Answer telephones, assist clients, take orders and place trades, fill out applications and forms. Business Name: Winding Brook Condominium Association Investment Related: No Address: 101 Church Road Unit 1 Southbury CT 06488 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Secretary Start Date: 8/7/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I attend the quarterly meetings, vote on having work done, send meeting minutes to the owners. Business Name: LAURA MAGUIRE POSITION: Volunteer NATURE: New Opportunities RSVP INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2022 ADDRESS: 232 N. Elm Street, Waterbury CT 06702 DESCRIPTION: Assist elders with Money Management Services (i.e. balance checkbook, organize and pay bills, etc.) Business Name: COMPASS CAPITAL MANAGEMENT POSITION: Servicing Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/07/2004 ADDRESS: 2 Pomperaug Office Park, Ste 301, Southbury CT 06488 DESCRIPTION: Process trades, conduct client reviews, assist clients with all service related issues.
CRS (Client Relationship Summary) - RIA
Click below to view Laura Maguire's 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®
NoneExperience
Current
January 11, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2 Pomperaug Office Parl Ste. 301, Southbury, CT 06488RIA
CRD#: 283330
Southbury, CT
Current
January 9, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2 Pomperaug Office Park Ste 301, Southbury, CT 06488BD
CRD#: 42046
Southbury, CT
Past
September 3, 2013 - May 26, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SOUTHBURY, CT
Past
February 3, 2005 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SOUTHBURY, CT
Past
April 30, 2004 - September 3, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
May 22, 2000 - February 13, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 22, 2000 - February 13, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 18, 1997 - February 23, 2000
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BRIDGEPORT, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(3/5/2020)
RR
California(3/5/2020)
RR
Colorado(3/5/2020)
RR
Connecticut(1/9/2017)
IAR
Connecticut(1/11/2017)
RR
Delaware(3/5/2020)
RR
District of Columbia(3/5/2020)
RR
Florida(3/5/2020)
RR
Georgia(3/5/2020)
RR
Illinois(3/5/2020)
RR
Kentucky(3/5/2020)
RR
Maine(3/5/2020)
RR
Maryland(3/5/2020)
RR
Massachusetts(3/5/2020)
RR
Michigan(3/5/2020)
RR
Montana(3/5/2020)
RR
Nebraska(3/5/2020)
RR
New Hampshire(3/5/2020)
RR
New Jersey(3/5/2020)
RR
New Mexico(3/5/2020)
RR
New York(3/5/2020)
RR
North Carolina(3/6/2020)
RR
Ohio(3/5/2020)
RR
Pennsylvania(3/5/2020)
RR
Rhode Island(3/5/2020)
RR
South Carolina(3/5/2020)
RR
South Dakota(3/5/2020)
RR
Tennessee(3/5/2020)
RR
Texas(3/5/2020)
RR
Utah(3/5/2020)
RR
Vermont(3/5/2020)
RR
Virginia(3/5/2020)
RR
Washington(3/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Southbury, CT 06488TRUST BUT VERIFY
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