Laurie L. Mardis
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.
Laurie Lynn Mardis, who also goes by Bowden, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 2000. Laurie had worked at 5 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2015 - February 14, 2019
BTC CAPITAL MANAGEMENT
May 31, 2002 - March 29, 2016
MILES CAPITAL, INC.
July 25, 2001 - January 5, 2006
AMCORE INVESTMENT SERVICES, INC
May 2, 2001 - June 28, 2001
WELLS FARGO INVESTMENTS, LLC
May 9, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
Primary Firm SEC Registration
BTC CAPITAL MANAGEMENT
CRD#: 127158 / SEC#: 801-62140
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
BTC CAPITAL MANAGEMENT
CRD#: 127158 / SEC#: 801-62140
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,262 |
| AUM (Assets Under Management) | $ 4,188,851,296 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2024 | ||
| 01/17/2024 | ||
| 12/28/2022 |
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.
