LK
Laura P. Katic
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
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CRD#: 4849355
LK
Professional summary
Laura Patricia Katic, CIMA®, who also goes by Laura Patricia Grusczynski, L K, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Laura is registered as a RR (Registered Representative) and started their career in finance in 2004. Laura has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Laura Patricia Grusczynski | L K
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.
CRS (Client Relationship Summary) - BD
Click below to view Laura Patricia Katic's 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®
Experience
Current
August 20, 2015 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
January 2, 2015 - July 14, 2015
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
January 21, 2014 - December 31, 2014
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
March 27, 2012 - January 23, 2014
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
SEATTLE, WA
Past
October 16, 2007 - March 14, 2012
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
August 20, 2005 - October 4, 2007
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
June 27, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
November 2, 2004 - November 15, 2005
FITZMAURICE INVESTMENT MANAGEMENT SERVICES, LLC
BD
CRD#: 117225
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(8/20/2015)
RR
Alaska(8/20/2015)
RR
Arizona(8/20/2015)
RR
Arkansas(8/20/2015)
RR
California(8/20/2015)
RR
Colorado(8/20/2015)
RR
Connecticut(8/20/2015)
RR
Delaware(8/20/2015)
RR
District of Columbia(8/20/2015)
RR
Florida(8/20/2015)
RR
Georgia(8/20/2015)
RR
Hawaii(8/20/2015)
RR
Idaho(8/20/2015)
RR
Illinois(8/20/2015)
RR
Indiana(8/20/2015)
RR
Iowa(8/20/2015)
RR
Kansas(8/20/2015)
RR
Kentucky(8/20/2015)
RR
Louisiana(8/20/2015)
RR
Maine(8/20/2015)
RR
Maryland(8/20/2015)
RR
Massachusetts(8/20/2015)
RR
Michigan(8/20/2015)
RR
Minnesota(8/20/2015)
RR
Mississippi(8/20/2015)
RR
Missouri(8/20/2015)
RR
Montana(8/20/2015)
RR
Nebraska(8/20/2015)
RR
Nevada(8/20/2015)
RR
New Hampshire(8/20/2015)
RR
New Jersey(8/20/2015)
RR
New Mexico(8/20/2015)
RR
New York(8/20/2015)
RR
North Carolina(8/20/2015)
RR
North Dakota(8/20/2015)
RR
Ohio(8/20/2015)
RR
Oklahoma(8/20/2015)
RR
Oregon(8/20/2015)
RR
Pennsylvania(8/20/2015)
RR
Puerto Rico(4/24/2018)
RR
Rhode Island(8/20/2015)
RR
South Carolina(8/20/2015)
RR
South Dakota(8/20/2015)
RR
Tennessee(8/20/2015)
RR
Texas(8/20/2015)
RR
Utah(8/20/2015)
RR
Vermont(8/20/2015)
RR
Virginia(8/20/2015)
RR
Washington(8/20/2015)
RR
West Virginia(8/20/2015)
RR
Wisconsin(8/20/2015)
RR
Wyoming(8/20/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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