Laura J. Cali
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 Jean Cali, who also goes by Laura Jean Cali Mrs., Laura Jean Parella, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1999. Laura had worked at 10 firms and has passed the Series 63, 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
May 2, 2024 - August 16, 2024
MUTUAL OF AMERICA SECURITIES LLC
December 4, 2020 - January 25, 2023
TRIAD ADVISORS LLC
July 29, 2015 - November 2, 2020
JOHN HANCOCK DISTRIBUTORS LLC
May 1, 2014 - July 8, 2015
MML DISTRIBUTORS, LLC
February 19, 2013 - May 1, 2014
MML INVESTORS SERVICES, LLC
February 6, 2012 - October 19, 2012
MORGAN STANLEY
November 18, 2010 - March 3, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 1, 2008 - January 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 23, 2003 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 2, 2003 - January 30, 2003
NEW ENGLAND SECURITIES
April 21, 1999 - November 27, 2002
A. G. EDWARDS & SONS, 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
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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