LW
Laura A. Wassell
KESTRA ADVISORY SERVICES
Newtown, PA 18940
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CRD#: 4239282
LW
Professional summary
Laura A Wassell, who also goes by Laura Ann Schmitt, Laura Anne Schmitt, Laura Wassell, Laura Anne Wassell, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Newtown, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Newtown, Pennsylvania.
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 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Ann Schmitt | Laura Anne Schmitt | Laura Wassell | Laura Anne Wassell
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.
Business Name: Automation Distribution Inc Investment Related: No Address: 2398 N Penn Rd Hatfield PA 19440 Nature of Business: Other Other/None of the Above Buys and sells products and services Position, Title or Relationship: Accounting Clerk and Office Manager Start Date: 4/13/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Assists in accounting and office administrationBusiness Name: Drake, Lehner and Morgan, LLC Investment Related: Yes Address: 41 University Drive Suite 400 Newtown PA 18940 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Employee Start Date: 7/25/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Registered Representative and Investment AdvisoryBusiness Name: Kestra Advisory Services Investment Related: Yes Address: 5707 Southwest Pkwy Bldg Ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Representative Start Date: 7/26/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Provide investment advisory services to clients
CRS (Client Relationship Summary) - RIA
Click below to view Laura A Wassell'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®
NoneExperience
Current
August 5, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 41 University Dr Ste 400, Newtown, PA 18940RIA
CRD#: 283330
Newtown, PA
Current
August 5, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 41 University Dr. Ste. 400, Newtown, PA 18940BD
CRD#: 42046
Newtown, PA
Past
April 12, 2011 - May 6, 2021
MORGAN STANLEY
RIA
CRD#: 149777
BRYN MAWR, PA
Past
April 7, 2011 - May 6, 2021
MORGAN STANLEY
BD
CRD#: 149777
BRYN MAWR, PA
Past
May 7, 2004 - April 25, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PHILADELPHIA, PA
Past
July 30, 2001 - May 10, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
California(2/24/2022)
RR
District of Columbia(6/16/2022)
RR
Florida(8/12/2021)
RR
Massachusetts(8/12/2021)
RR
Minnesota(9/12/2025)
RR
New Hampshire(8/12/2021)
RR
New Jersey(8/12/2021)
RR
New York(8/12/2021)
RR
Pennsylvania(8/5/2021)
IAR
Pennsylvania(8/5/2021)
RR
Utah(7/25/2023)
RR
Washington(7/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
