Laura L. Asgari
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 Lynn Asgari, who also goes by Laura Lynn Godenzi, Laura Lynn Marvin, Laura Lynn Sheldon, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2003. Laura had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 31 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 9, 2015 - February 19, 2020
CUNA BROKERAGE SERVICES, INC.
December 9, 2015 - February 19, 2020
CUNA BROKERAGE SERVICES, INC.
June 1, 2015 - December 3, 2015
ELLIOTT COVE CAPITAL MANAGEMENT
March 31, 2014 - May 19, 2015
SCOTTRADE, INC.
June 15, 2009 - October 14, 2013
EDWARD JONES
June 12, 2009 - October 14, 2013
EDWARD JONES
August 30, 2006 - June 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2006 - June 15, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 23, 2004 - August 1, 2006
MORGAN STANLEY DW INC.
March 4, 2004 - August 1, 2006
MORGAN STANLEY DW INC.
June 26, 2003 - February 11, 2004
ELLIOTT COVE CAPITAL MANAGEMENT
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
