Mary I. Laplante
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.
Mary Ida Laplante, CFP®, who also goes by Mary Laplante Bauerle, Mary Ida Laplante, Mary Laplante, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1999. Mary had worked at 4 firms and has passed the Series 65, Series 63, SIE 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
Start date: 2006
Experience
February 3, 2021 - September 18, 2024
ERNST & YOUNG INVESTMENT ADVISERS LLP
August 21, 2009 - December 17, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 14, 2009 - December 17, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 2, 2007 - August 15, 2009
UBS FINANCIAL SERVICES INC.
August 1, 2007 - August 14, 2009
UBS FINANCIAL SERVICES INC.
April 28, 1999 - August 7, 2007
CITIGROUP GLOBAL MARKETS INC.
April 23, 1999 - August 7, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
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.
