Laura S. Moskwa
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 S Moskwa, who also goes by Laura Szykowski, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1997. Laura had worked at 6 firms and has passed the Series 65, Series 63 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
February 25, 2011 - June 29, 2017
SMART INVESTOR, LLC
February 1, 2003 - April 6, 2009
TRANSAMERICA INVESTORS SECURITIES, LLC
June 19, 2002 - February 1, 2003
TRANSAMERICA SECURITIES SALES CORPORATION
June 13, 2000 - June 7, 2001
MACKEN SECURITIES, INC.
June 11, 1999 - June 12, 2000
THE CONCORD EQUITY GROUP, LLC
June 26, 1997 - June 9, 1999
OSAIC WEALTH, INC.
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
SMART INVESTOR, LLC
CRD#: 116587 / SEC#: 801-61937
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,058 |
| AUM (Assets Under Management) | $ 682,741,798 |
Red Flags
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