Laura C. Richards
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 Catoe Richards, CFP®, who also goes by Laura Anne Catoe, Laura Anne Richards, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1998. Laura had worked at 6 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
September 3, 2009 - April 11, 2019
QUEENS OAK ADVISORS
June 10, 2009 - September 3, 2009
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
June 3, 2009 - July 9, 2012
CAPITAL GUARDIAN, LLC
February 18, 2009 - March 13, 2009
STANFORD GROUP COMPANY
October 22, 2008 - March 13, 2009
STANFORD GROUP COMPANY
June 25, 2001 - December 31, 2004
WELLS FARGO CLEARING SERVICES, LLC
March 30, 1998 - March 1, 2001
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEENS OAK ADVISORS
CRD#: 150605 / SEC#: 801-70356
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
