Laura C. Kling Baffico
Professional summary
Laura Caperton Kling Baffico, who also goes by Laura K Baffico, Laura Baffico, Laura Caperton Kling, Laura C Kling, Laura Caperton Kling, Laura Kling, Laura Kling Baffico, Laura Klingbaffico, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Laura is registered as a RR (Registered Representative) and started their career in finance in 2001. Laura has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Laura Caperton Kling Baffico's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355March 16, 2015 - March 10, 2025
THORNBURG SECURITIES LLC
September 23, 2014 - March 17, 2015
FORESIDE FUND SERVICES, LLC
January 24, 2014 - September 4, 2014
AST INVESTOR SERVICES LLC
November 18, 2010 - January 2, 2014
COHEN & STEERS SECURITIES, LLC
November 20, 2007 - October 28, 2010
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
November 9, 2007 - October 28, 2010
NYLIFE DISTRIBUTORS LLC
June 9, 2005 - September 19, 2007
NATIXIS ADVISORS, LLC
June 8, 2005 - September 19, 2007
NATIXIS DISTRIBUTION, LLC
April 22, 2003 - June 15, 2005
MANULIFE INVESTMENT MANAGEMENT (US) LLC
April 22, 2003 - June 15, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
July 1, 2002 - June 14, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
May 21, 2001 - June 18, 2002
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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