Laura Rapp
Professional summary
Laura Rapp, who also goes by Laura J Rapp, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Laura is registered as a RR (Registered Representative) and started their career in finance in 2005. Laura has worked at 7 firms and has passed the Series 66, Series 6TO, Series 22TO, Series 82TO, Series 52TO, Series 99TO, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Laura Rapp's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2023 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262July 31, 2020 - November 23, 2021
WELLS FARGO SECURITIES, LLC
May 8, 2019 - February 14, 2020
CHARLES SCHWAB & CO., INC.
May 8, 2019 - February 14, 2020
CHARLES SCHWAB & CO., INC.
June 15, 2012 - April 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2012 - April 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 12, 2012 - July 13, 2012
MORGAN STANLEY
April 12, 2012 - July 13, 2012
MORGAN STANLEY
June 16, 2009 - March 26, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 16, 2009 - March 26, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2008 - June 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - June 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 24, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 7/19/2022
General Securities Representative ExaminationFINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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