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LB

Laura F. Benintend

Some features on this profile are disabled
CRD#: 3226636
LB

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 F Benintend, who also goes by Laura Allen Fagan, Laura F Fagan, Laura Fagan, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 1999. Laura had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 23, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Allen Fagan | Laura F Fagan | Laura Fagan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 27, 2013 - November 24, 2014

BENINTEND, LAURA

RIA
CRD#: 167959
ENCINITAS, CA
Past

October 14, 2010 - April 17, 2013

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
CARLSBAD, CA
Past

October 14, 2010 - April 17, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
CARLSBAD, CA
Past

August 21, 2009 - September 17, 2010

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

August 21, 2009 - September 17, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEWPORT BEACH, CA
Past

June 1, 2009 - September 4, 2009

MORGAN STANLEY

RIA
CRD#: 149777
LAGUNA NIGUEL, CA
Past

June 1, 2009 - September 4, 2009

MORGAN STANLEY

BD
CRD#: 149777
LAGUNA NIGUEL, CA
Past

August 3, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LAGUNA NIGUEL, CA
Past

August 3, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LAGUNA NIGUEL, CA
Past

August 5, 2002 - July 26, 2005

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
WASHINGTON, DC
Past

January 13, 2001 - July 26, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 7, 1999 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/2/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/1/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 23
Date: 3/24/2005
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 9
Date: 7/21/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/19/2003
General Securities Sales Supervisor - General Module Examination

Current Firm

BL
BENINTEND, LAURA
BENINTEND, LAURA

CRD#: 167959 / SEC#:

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Contact information

Main Address
Encinitas, CA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

BENINTEND, LAURA

CRD#: 167959

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