Laura J. Caler
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 J Caler, who also goes by Laura J Caler, Laura Joellen Caler, Laura Caler, Laura Joellen Hurst, Laura J Hurst, Laura Hurst, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2007. Laura had worked at 5 firms and has passed the Series 66, 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
July 31, 2024 - September 6, 2024
CONCORDE INVESTMENT SERVICES, LLC
August 18, 2021 - July 16, 2024
MORGAN STANLEY
August 18, 2021 - July 16, 2024
MORGAN STANLEY
September 27, 2019 - August 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2019 - August 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2016 - January 11, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 4, 2016 - January 11, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 1, 2009 - January 27, 2015
MORGAN STANLEY
June 1, 2009 - January 27, 2015
MORGAN STANLEY
December 24, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 17, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
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
CONCORDE INVESTMENT SERVICES, LLC
CRD#: 151604 / SEC#: , 8-68388
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONCORDE HOLDINGS INC. | OWNER / MANAGING MEMBER | |
| ARNOLD, AMY PERRYMAN | CHIEF DUE DILIGENCE OFFICER | 3037672 |
| DELONGCHAMP, DANIELLE LEIGH | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4901901 |
| GAKENHEIMER, JOHN HERBERT | REGISTERED OPTIONS PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 810171 |
| HOFER, KATHLEEN ANN | FINOP, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1087639 |
| LOBERG, NICHOLAS | DIRECTOR OF BROKERAGE OPERATIONS | 6778518 |
| MCMURRY, KEITH | CHIEF OPERATIONS OFFICER | 5647966 |
| STACEY, JENNIFER LEIGH | CHIEF COMPLIANCE OFFICER | 2536581 |
| WOOLSON, NICOLE RENEE | DIRECTOR OF COMPLIANCE | 3143232 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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