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LA

Laura S. Armstrong

FIRST CITIZENS CAPITAL SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 3271456
LA

Professional summary

Laura Stevens Armstrong, who also goes by Laura Suzanne Stevens, is a registered financial professional currently at FIRST CITIZENS CAPITAL SECURITIES, LLC located in New York, New York.

Laura is registered as a RR (Registered Representative) and started their career in finance in 1999. Laura has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Suzanne Stevens

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) - BD

Click below to view Laura Stevens Armstrong's CRS (Customer Relationship Summary).

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

Current

March 20, 2025 - Present

FIRST CITIZENS CAPITAL SECURITIES, LLC

Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036
BD
CRD#: 41504
New York, NY
Past

December 27, 2016 - June 13, 2022

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Edmonds, WA
Past

December 20, 2013 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
SAN FRANCISCO, CA
Past

December 20, 2013 - June 13, 2022

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
San Francisco, CA
Past

May 20, 2011 - December 13, 2013

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

May 20, 2011 - December 13, 2013

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA
Past

September 13, 2006 - May 12, 2011

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SAN FRANCISCO, CA
Past

September 13, 2006 - May 12, 2011

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SAN FRANCISCO, CA
Past

December 31, 2001 - September 14, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHARLOTTE, NC
Past

June 9, 2000 - September 14, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHARLOTTE, NC
Past

November 30, 1999 - May 26, 2000

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Washington
(4/10/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/31/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/22/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/28/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/11/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/20/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/20/2006
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FIRST CITIZENS CAPITAL SECURITIES, LLC
CAP-SYN CORP. | NEWCOURT CAPITAL SECURITIES, INC. | NEWCOURT CAPITAL | FIRST CITIZENS CAPITAL SECURITIES, LLC | CIT CAPITAL SECURITIES, INC. | CIT CAPITAL SECURITIES LLC

CRD#: 41504 / SEC#: , 8-49466

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
11 West 42nd Street 13th Floor, New York, NY 10036
Mailing Address
11 West 42nd Street 11th Floor, New York, NY 10036
Phone number
(212) 771-7872
Established
Delaware since 03/31/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST CITIZENS BANCSHARES, INC.SHAREHOLDER
GETTYS, ALISHA DANIELLECHIEF COMPLIANCE OFFICER6254273
HUI, MICHELLE CHAOCHIEF FINANCIAL OFFICER/FINOP2480261
YOUNG, MICHAEL ROBERTPRESIDENT4410392

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

FIRST CITIZENS CAPITAL SECURITIES, LLC

CRD#: 41504New York, NY 10036

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