Laura D. Brown

ADDINGTON FINANCIAL GROUP LLC

TROPHY CLUB, TX

Some features on this profile are disabled

CRD#: 3007985

Professional summary

Laura Diane Brown is a registered financial advisor currently at ADDINGTON FINANCIAL GROUP LLC located in Trophy Club, Texas.

Laura is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Laura has worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Diane Brown's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 30, 2021 - Present

ADDINGTON FINANCIAL GROUP LLC

RIA

CRD#: 114584

TROPHY CLUB, TX

Past

May 8, 2008 - October 13, 2010

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Past

January 1, 2008 - April 8, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

October 24, 2006 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Past

February 24, 1998 - October 24, 2005

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

ADDINGTON FINANCIAL GROUP LLC

ADDINGTON FINANCIAL GROUP | LAURA LEE ADDINGTON | LAURA ADDINGTON | ADDINGTON FINANCIAL GROUP LLC

CRD#: 114584 / SEC#: 801-112629

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Colorado

Registered Investment Advisory firm - (3/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(6/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/30/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/23/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/2/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ADDINGTON FINANCIAL GROUP LLC

ADDINGTON FINANCIAL GROUP | LAURA LEE ADDINGTON | LAURA ADDINGTON | ADDINGTON FINANCIAL GROUP LLC

CRD#: 114584 / SEC#: 801-112629

RIA

Registered Investment Advisory firm - (3/16/2018 Approved)

Colorado

Registered Investment Advisory firm - (3/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (3/26/2018 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Cypress Springs Village, TX

Mailing Address

P.o. Box 143, Winnsboro, TX 75494

Phone number

(866) 220-7788

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADDINGTON FINANCIAL GROUP ADV BROCHURE (4/8/2025)

Regulatory assets under management

Total Number of Accounts	351
AUM (Assets Under Management)	$ 298,478,876

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Laura D. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Diane Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

ADDINGTON FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2021

Series 63

Date: 3/11/1998

Series 6

Date: 2/23/1998

Series 26

Date: 2/2/2007

Current Firm

ADDINGTON FINANCIAL GROUP LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADDINGTON FINANCIAL GROUP LLC

TRUST BUT VERIFY

Similar Advisors