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LC

Laura M. Castine

FRANKLIN DISTRIBUTORS
St. Petersburg, FL 33716
Some features on this profile are disabled
CRD#: 3272237
LC

Professional summary

Laura Michelle Castine, CIMA®, who also goes by Laura Michelle Poltevecque, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in St. Petersburg, Florida.

Laura is registered as a RR (Registered Representative) and started their career in finance in 1999. Laura has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Michelle Poltevecque

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 Michelle Castine's CRS (Customer Relationship Summary).
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®
CIMA®

Certified Investment Management Analyst

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 Fountain Parkway, St. Petersburg, FL 33716
BD
CRD#: 109064
St. Petersburg, FL
Past

May 21, 2020 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
ST. PETERSBURG, FL
Past

July 17, 2017 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
ST. PETERSBURG, FL
Past

October 23, 2009 - July 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAINT PETERSBURG, FL
Past

October 23, 2009 - July 3, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAINT PETERSBURG, FL
Past

July 9, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
ST. PETERSBURG, FL
Past

July 2, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
ST. PETERSBURG, FL
Past

February 14, 2005 - September 2, 2008

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
SAINT PETERSBURG, FL
Past

January 18, 2005 - September 2, 2008

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

December 2, 2002 - January 11, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PORT RICHEY, FL
Past

August 16, 2002 - January 11, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 27, 1999 - August 20, 2002

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

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
Alabama
(1/5/2022)
RR
Alaska
(1/5/2022)
RR
Arizona
(1/5/2022)
RR
Arkansas
(1/5/2022)
RR
California
(7/7/2021)
RR
Colorado
(1/5/2022)
RR
Connecticut
(7/7/2021)
RR
Delaware
(1/5/2022)
RR
District of Columbia
(1/5/2022)
RR
Florida
(7/7/2021)
RR
Georgia
(1/5/2022)
RR
Hawaii
(1/5/2022)
RR
Idaho
(1/5/2022)
RR
Illinois
(1/5/2022)
RR
Indiana
(1/5/2022)
RR
Iowa
(1/5/2022)
RR
Kansas
(1/5/2022)
RR
Kentucky
(1/5/2022)
RR
Louisiana
(1/5/2022)
RR
Maine
(1/5/2022)
RR
Maryland
(1/5/2022)
RR
Massachusetts
(1/5/2022)
RR
Michigan
(1/5/2022)
RR
Minnesota
(1/5/2022)
RR
Mississippi
(1/5/2022)
RR
Missouri
(1/5/2022)
RR
Montana
(1/5/2022)
RR
Nebraska
(1/5/2022)
RR
Nevada
(1/5/2022)
RR
New Hampshire
(1/5/2022)
RR
New Jersey
(1/5/2022)
RR
New Mexico
(1/5/2022)
RR
New York
(7/7/2021)
RR
North Carolina
(1/5/2022)
RR
North Dakota
(1/5/2022)
RR
Ohio
(1/7/2022)
RR
Oklahoma
(1/5/2022)
RR
Oregon
(1/5/2022)
RR
Pennsylvania
(1/5/2022)
RR
Puerto Rico
(1/5/2022)
RR
Rhode Island
(1/5/2022)
RR
South Carolina
(1/5/2022)
RR
South Dakota
(1/5/2022)
RR
Tennessee
(1/5/2022)
RR
Texas
(1/5/2022)
RR
Utah
(1/5/2022)
RR
Vermont
(1/5/2022)
RR
Virgin Islands
(1/5/2022)
RR
Virginia
(1/5/2022)
RR
Washington
(1/5/2022)
RR
West Virginia
(1/5/2022)
RR
Wisconsin
(1/5/2022)
RR
Wyoming
(1/5/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/13/1999
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 31
Date: 1/15/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064St. Petersburg, FL 33716

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