Laura C. Botero
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 Cristina Botero, who also goes by Laura Christina Botero, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2005. Laura had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2016 - February 5, 2020
SCHRODER FUND ADVISORS LLC
February 19, 2014 - May 3, 2016
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
February 5, 2014 - May 3, 2016
AMUNDI DISTRIBUTOR US, INC.
January 15, 2013 - December 10, 2013
SAFRA SECURITIES LLC
July 13, 2011 - December 17, 2012
OSAIC INSTITUTIONS, INC.
April 25, 2011 - December 17, 2012
OSAIC INSTITUTIONS, INC.
March 5, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
February 6, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
July 3, 2007 - November 7, 2007
HSBC SECURITIES (USA) INC.
August 8, 2005 - May 21, 2007
CITICORP INVESTMENT SERVICES
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
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
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.
