Laura D. Hadley
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 Diana Hadley, who also goes by Laura Diana Hadley, Laura Diana Sterger, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1998. Laura had worked at 13 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6 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
February 6, 2017 - November 29, 2017
ALLEGIS INVESTMENT ADVISORS, LLC
February 3, 2017 - November 29, 2017
ALLEGIS INVESTMENT SERVICES, LLC
May 22, 2015 - January 25, 2017
TRANSAMERICA RETIREMENT ADVISORS, LLC
April 2, 2015 - January 25, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
January 30, 2009 - July 28, 2011
MORGAN STANLEY & CO. LLC
September 22, 2006 - December 31, 2008
GOLDMAN SACHS & CO. LLC
January 3, 2006 - March 31, 2006
PERSHING LLC
January 3, 2006 - September 21, 2006
PERSHING LLC
June 2, 2005 - December 8, 2005
TD AMERITRADE, INC.
November 23, 2004 - December 8, 2005
TD AMERITRADE, INC.
March 16, 2001 - January 8, 2002
WELLS FARGO SECURITIES, LLC
February 12, 2001 - November 8, 2004
WELLS FARGO INVESTMENTS, LLC
February 9, 2001 - November 2, 2001
WELLS FARGO SECURITIES INC.
August 3, 1998 - January 30, 2001
IDS LIFE INSURANCE COMPANY
August 3, 1998 - January 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ALLEGIS INVESTMENT ADVISORS, LLC
CRD#: 157314 / SEC#: 801-78696
Contact information
Red Flags
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