Laura C. Zahn
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 Claire Zahn MS., who also goes by Laura Claire Zahn, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2002. Laura had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2017 - September 27, 2018
CUSO FINANCIAL SERVICES, L.P.
October 2, 2017 - September 27, 2018
CUSO FINANCIAL SERVICES, L.P.
April 16, 2015 - September 29, 2017
SECURITIES AMERICA ADVISORS, INC.
April 16, 2015 - September 29, 2017
SECURITIES AMERICA, INC.
January 21, 2014 - April 24, 2015
LPL FINANCIAL LLC
September 8, 2009 - April 24, 2015
LPL FINANCIAL LLC
May 7, 2002 - September 10, 2009
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
