Laura C. Warnock

LONE PEAK ADVISERS

Draper, UT 84020-7150

Some features on this profile are disabled

CRD#: 4220434

Professional summary

Laura Carrera Warnock, AIF®, who also goes by Laura Warnock Carrera, Laura Carrera, Laura Gray, Laura Warnock, Laura Warnock Carrera, Laura Warnock-gray, is a registered financial advisor currently at LONE PEAK ADVISERS located in Draper, Utah and TRANSITIONAL BROKER LLC located in Draper, Utah.

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 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

1) Cartograph Welath; Investment Related; 11650 S. State Street Suite 200, Draper, UT 84020 ; Start Date: 05/2024; DBA of Registered Rep; 160 Hrs per month; 40 Hrs during trading; investment advice 2) Brighton Youth Lacrosse; Not Investment Related; 2755 Newcastle Drive, Sandy UT 84093; Start Date: 08/2015; Boys Youth Lacrosse Coach; 36 Hrs per month; 0 Hrs during trading; Teaching boys lacrosse skills and love of the game 3) URS-Utah Retirement Systems Board; Not Investment Related; 540 East 200 South Salt Lake City, UT 84102-2099; Start Date: 08/01/2023; Board Member; 8 Hrs. per month; 4 Hrs. during trading; Board review of investments, compliance, audits 4) Independent Insurance Rep; Not Investment Related, 11650 South State Street Suite 200, Draper, UT 84020; Start Date: 5/2024; fixed insurance products; 5 hrs per month; 2 hrs during trading; life/health and fixed annuities representative;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Carrera Warnock'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 3, 2024 - Present

LONE PEAK ADVISERS

Office #1: 11650 South State Street Suite 200, Draper, UT 84020-7150

RIA

CRD#: 296772

Draper, UT

Current

May 14, 2024 - Present

TRANSITIONAL BROKER LLC

Office #1: 11650 S. State Street, Suite 200, Draper, UT 84020

CRD#: 304313

Draper, UT

Past

August 1, 2019 - May 2, 2024

FOUNDERS FINANCIAL SECURITIES LLC

RIA

CRD#: 137945

Salt Lake City, UT

Past

August 1, 2019 - May 2, 2024

FOUNDERS FINANCIAL SECURITIES LLC

CRD#: 137945

Salt Lake City, UT

Past

February 18, 2016 - August 19, 2019

LPL FINANCIAL LLC

RIA

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LONE PEAK ADVISERS

CRD#: 296772 / SEC#: 801-127627

RIA

Registered Investment Advisory firm - (3/28/2023 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(5/14/2024)

Idaho
(5/14/2024)

IAR

LONE PEAK ADVISERS

CRD#: 296772 / SEC#: 801-127627

RIA

Registered Investment Advisory firm - (3/28/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11650 South State Street Suite 200, Draper, UT 84020-7150

Mailing Address

Phone number

(801) 855-8886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LONE PEAK ADVISERS, LLC - FORM ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	743
AUM (Assets Under Management)	$ 119,000,000

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.

Similar Advisors

Reuben Rowley

EAGLE STRATEGIES LLC

IAR

AMERICAN FORK, UT

Neal Hansen

NET WORTH ADVISORY GROUP, LLC

IAR

Sandy, UT

Justin Lizama

SIMPLE FINANCIAL, LLC

IAR

West Jordan, UT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Laura C. Warnock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Carrera Warnock's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSITIONAL BROKER LLC

FOUNDERS FINANCIAL SECURITIES LLC

FOUNDERS FINANCIAL SECURITIES LLC

LPL FINANCIAL LLC

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

LPL FINANCIAL LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

LONE PEAK ADVISERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2000

Series 63

Date: 8/1/2000

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 11/2/2000

Series 7

Date: 7/19/2000

FINRA

Current Firm

LONE PEAK ADVISERS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LONE PEAK ADVISERS

TRUST BUT VERIFY

Similar Advisors