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LA

Laura L. Asker

EMPIRICAL RESEARCH PARTNERS
NEW YORK`, NY 10176
CRD#: 4229285
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LA
Laura Louise AskerEMPIRICAL RESEARCH PARTNERS

Professional summary

Laura Louise Asker, who also goes by Laura Louise Dix, is a registered financial advisor currently at EMPIRICAL RESEARCH PARTNERS LLC located in New York`, New York.

Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Laura has worked at 3 firms and has passed the Series 65, Series 63, Series 87, Series 86, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Laura Louise Dix

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) - RIA

Click below to view Laura Louise Asker's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Laura Louise Asker'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

August 23, 2023 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 551 Fifth Avenue Suite 1800, New York`, NY 10176
RIA
BD
CRD#: 123520
NEW YORK`, NY
Current

August 19, 2022 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 551 Fifth Avenue Suite 1800, New York, NY 10176
RIA
BD
CRD#: 123520
NEW YORK, NY
Past

November 3, 2003 - April 26, 2017

EMPIRICAL RESEARCH PARTNERS LLC

BD
CRD#: 123520
NEW YORK, NY
Past

September 25, 2002 - February 10, 2003

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 1, 2001 - February 10, 2003

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY

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.
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
New York
(9/23/2022)
IAR
New York
(8/23/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/27/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 4/15/2024
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 4/1/2024
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ER
EMPIRICAL RESEARCH PARTNERS LLC
EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520 / SEC#: , 8-65590

New York
Registered Investment Advisory firm - SEC (8/23/2023 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
551 Fifth Avenue Suite 1800, New York`, NY 10176
Mailing Address
551 Fifth Avenue Suite 1800, New York, NY 10176
Phone number
(212) 803-8000
Established
Delaware since 06/25/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
GOLDSTEIN, MICHAEL LEWISMANAGING MEMBER / CHIEF COMPLIANCE OFFICER1661076
SCHILLING, MICHAEL JAMESFINOP2609624

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

EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520New York`, NY 10176

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