Laura Steele Sexton | Financial Professional

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.

Laura Steele Sexton, who also goes by Laura Steele Esposito, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 2001. Laura had worked at 5 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Laura Steele Esposito

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 20, 2018 - December 11, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Auburndale, MA

Past

July 28, 2014 - February 22, 2017

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

BOSTON, MA

Past

September 18, 2006 - April 10, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOSTON, MA

Past

May 19, 2006 - April 10, 2013

LPL FINANCIAL LLC

BD

CRD#: 6413

BOSTON, MA

Past

August 24, 2004 - May 6, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD

CRD#: 2580

FORT WAYNE, IN

Past

August 24, 2004 - May 6, 2006

OSAIC FA, INC.

BD

CRD#: 3978

BOSTON, MA

Past

May 30, 2001 - July 19, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD

CRD#: 2580

FORT WAYNE, IN

Past

May 30, 2001 - July 19, 2004

OSAIC FA, INC.

BD

CRD#: 3978

FORT WAYNE, IN

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".

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 9/14/2006

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 5/29/2001

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/19/2003

General Securities Principal Examination

Current Firm

CI

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CRD#: 134139 / SEC#: 801-63930

RIA

Registered Investment Advisory firm - (2/3/2005 Approved)

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Contact information

Main Address

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757

Mailing Address

Phone number

(641) 472-5100

Established

Firm type

Fiscal year end

# of Employees

3,361

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIRA ADV 2A (9/8/2025)

WEALTHPORT WRAP BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	438,414
AUM (Assets Under Management)	$ 102,413,096,032

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
04/29/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Laura S. Sexton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED ADVISORY SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2006

Series 7

Date: 5/29/2001

Series 24

Date: 5/19/2003

Current Firm

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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