Laura S. Estes
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 Schad Estes, who also goes by Laura Hope Schad, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2004. Laura had worked at 3 firms and has passed the Series 63, SIE, Series 52 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
April 9, 2014 - October 20, 2015
BMO CAPITAL MARKETS GKST INC.
July 1, 2004 - August 7, 2006
J.P. MORGAN SECURITIES INC.
June 3, 2004 - July 1, 2004
BANC ONE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BMO CAPITAL MARKETS GKST INC.
CRD#: 8352 / SEC#: , 8-25091
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
