Laura A. Sterner
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 Ann Sterner, who also goes by Laura Ann Smith, Laura Smith, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2005. Laura had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
March 20, 2014 - September 2, 2015
ANKURA CAPITAL ADVISORS, LLC
September 28, 2011 - May 21, 2012
UBS FINANCIAL SERVICES INC.
September 13, 2011 - May 21, 2012
UBS FINANCIAL SERVICES INC.
March 13, 2009 - May 26, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - May 26, 2010
BARCLAYS CAPITAL INC.
July 3, 2007 - October 15, 2008
LEHMAN BROTHERS INC.
August 31, 2005 - September 22, 2008
LEHMAN BROTHERS 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
Current Firm
ANKURA CAPITAL ADVISORS, LLC
CRD#: 114155 / SEC#: , 8-53403
Contact information
FINRA licenses (50 States and Territories)
Documents
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.
