Laura Suzanne Frood
CFP®Professional Summary
Laura Suzanne Frood, CFP®, who also goes by Laura Suzanne Schindler, is a registered financial advisor currently at SAGE, RUTTY & CO., INC. located in Rochester, New York. Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Laura has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Laura Suzanne Schindler
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
Contact Information
Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623Phone Number
(585) 232-3760Established
New York since 02/11/1937Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
36SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | — |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | — |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory Assets Under Management
Total Number of Accounts
8,163AUM (Assets Under Management)
$3,457,800,076Disclosures
Regulatory Event
6Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 01/02/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
State Registrations and Notice Filings
(1/4/2019)
(11/29/2004)
(1/28/2020)
(5/6/2004)
(5/13/2009)
(1/31/2011)
(5/6/2004)
(5/20/2019)
(3/2/2007)
(1/4/2019)
(8/30/2001)
(6/21/2021)
(11/29/2004)
(1/22/2026)
(6/23/2026)
(11/29/2004)
(6/1/2021)
(11/29/2004)
(8/27/2026)
(3/2/2007)
(3/27/2025)
(8/24/2005)
(1/11/2005)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Laura Suzanne Frood's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura Suzanne Frood's CRS (Customer Relationship Summary).
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