Laura K. Schroeder
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 Katherine Schroeder, who also goes by Laura Katherine Boteler, Kay Boteler-schroeder, Laura Katherine Boteler-schroeder, Kay Schroeder, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1998. Laura had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2014 - September 30, 2016
AVANTAX ADVISORY SERVICES
June 30, 2014 - September 30, 2016
AVANTAX INVESTMENT SERVICES, INC.
April 20, 2010 - July 26, 2012
MORGAN STANLEY
April 20, 2010 - July 26, 2012
MORGAN STANLEY
April 15, 2004 - January 13, 2010
WELLS FARGO INVESTMENTS, LLC
April 15, 2004 - January 13, 2010
WELLS FARGO INVESTMENTS, LLC
February 27, 1999 - March 25, 2004
AVANTAX INVESTMENT SERVICES, INC.
April 21, 1998 - January 25, 1999
METROPOLITAN LIFE INSURANCE COMPANY
April 21, 1998 - January 25, 1999
MSI FINANCIAL SERVICES, INC.
February 25, 1998 - March 31, 1998
MUTUAL OF OMAHA INVESTOR SERVICES, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
