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LK

Laura M. Kirk

WELLINGTON FUNDS DISTRIBUTORS
New York, NY 10003
Some features on this profile are disabled
CRD#: 4542984
LK

Professional summary

Laura Mistretta Kirk, who also goes by Laura Harkins Mistretta, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in New York, New York.

Laura is registered as a RR (Registered Representative) and started their career in finance in 2002. Laura has worked at 5 firms and has passed the Series 66, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Harkins Mistretta

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) - BD

Click below to view Laura Mistretta Kirk's CRS (Customer Relationship Summary).
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

April 8, 2025 - Present

WELLINGTON FUNDS DISTRIBUTORS INC.

Office #1: 799 Broadway, New York, NY 10003
BD
CRD#: 152768
New York, NY
Past

April 26, 2010 - September 5, 2024

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 19, 2008 - April 13, 2010

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

September 19, 2008 - April 13, 2010

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

September 20, 2006 - September 24, 2008

LEHMAN BROTHERS INC.

RIA
CRD#: 7506
NEW YORK, NY
Past

September 1, 2006 - September 24, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 30, 2002 - July 5, 2002

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY

State Registrations and Notice Filings

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

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
Alabama
(4/8/2025)
RR
Alaska
(4/8/2025)
RR
Arizona
(4/8/2025)
RR
Arkansas
(4/8/2025)
RR
California
(4/8/2025)
RR
Colorado
(4/8/2025)
RR
Connecticut
(4/8/2025)
RR
Delaware
(4/8/2025)
RR
District of Columbia
(4/8/2025)
RR
Florida
(4/8/2025)
RR
Georgia
(4/8/2025)
RR
Hawaii
(4/8/2025)
RR
Idaho
(4/8/2025)
RR
Illinois
(4/8/2025)
RR
Indiana
(4/8/2025)
RR
Iowa
(4/8/2025)
RR
Kansas
(4/8/2025)
RR
Kentucky
(4/8/2025)
RR
Louisiana
(4/8/2025)
RR
Maine
(4/8/2025)
RR
Maryland
(4/8/2025)
RR
Massachusetts
(4/8/2025)
RR
Michigan
(4/8/2025)
RR
Minnesota
(4/8/2025)
RR
Mississippi
(4/8/2025)
RR
Missouri
(4/8/2025)
RR
Montana
(4/8/2025)
RR
Nebraska
(4/8/2025)
RR
Nevada
(4/8/2025)
RR
New Hampshire
(4/8/2025)
RR
New Jersey
(4/8/2025)
RR
New Mexico
(4/8/2025)
RR
New York
(4/8/2025)
RR
North Carolina
(4/8/2025)
RR
North Dakota
(4/8/2025)
RR
Ohio
(4/8/2025)
RR
Oklahoma
(4/8/2025)
RR
Oregon
(4/8/2025)
RR
Pennsylvania
(4/8/2025)
RR
Rhode Island
(4/8/2025)
RR
South Carolina
(4/8/2025)
RR
South Dakota
(4/8/2025)
RR
Tennessee
(4/8/2025)
RR
Texas
(4/8/2025)
RR
Utah
(4/8/2025)
RR
Vermont
(4/8/2025)
RR
Virginia
(4/8/2025)
RR
Washington
(4/8/2025)
RR
West Virginia
(4/8/2025)
RR
Wisconsin
(4/8/2025)
RR
Wyoming
(4/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/19/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/10/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/8/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC

CRD#: 152768 / SEC#: , 8-68476

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WELLINGTON MANAGEMENT FUNDS HOLDINGS LLPHOLDING COMPANY
COYNE, LAURA ANN ESQ.DIRECTOR7053320
GEORGE, JEFFREY BRIANDIRECTOR8180600
HAVLICEK, DESMOND ANTHONYDIRECTOR2843267
MACKENZIE, BRENDAN MICHAELDIRECTOR5051963
MARTIN, SARA ANNCHIEF LEGAL OFFICER7469775
MILLEN, SARAH MACKTEZCHIEF FINANCIAL OFFICER7116565
SHANNON, MARY KEHOEDIRECTOR6439388
SHANNON, MARY KEHOEPRESIDENT6439388
WILLIAMS, ASHLEY LEIGHCHIEF COMPLIANCE OFFICER5498874

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

WELLINGTON FUNDS DISTRIBUTORS INC.

CRD#: 152768New York, NY 10003

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