Laura J. Pavlovic
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 Pavlovic, who also goes by Laura Jean Melze, Laura Jean Pavlovic, Laura Pavlovic, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2000. Laura had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2021 - June 5, 2023
NUVEEN SECURITIES, LLC
April 16, 2019 - July 22, 2019
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
March 26, 2019 - August 9, 2019
LPL FINANCIAL LLC
December 11, 2008 - August 27, 2018
NORTHERN TRUST SECURITIES, INC.
April 6, 2005 - March 7, 2008
VAN KAMPEN ADVISORS INC
November 22, 2000 - March 7, 2008
INVESCO CAPITAL MARKETS, 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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
