A Laurel C. Bragg
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.
A Laurel Campbell Bragg, who also goes by A Laurel C Bragg, Alaurel Campbell Bragg, Amy Laurel Campbell, was a registered financial professional .
A Laurel is a previously registered financial professional and started their career in finance in 1998. A Laurel had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
March 9, 2016 - December 20, 2018
USAA INVESTMENT SERVICES COMPANY
September 29, 2009 - December 20, 2018
USAA INVESTMENT SERVICES COMPANY
January 2, 2004 - December 20, 2018
USAA FINANCIAL ADVISORS, INC.
May 20, 2002 - March 16, 2016
USAA FINANCIAL PLANNING SERVICES
May 16, 2000 - December 31, 2003
USAA INVESTMENT SERVICES COMPANY
April 16, 1998 - May 10, 2000
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
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