Laurie B. Pinner

MUSTARD SEED WEALTH MANAGEMENT

HOPE, AR 71801

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CRD#: 5669017

Professional summary

Laurie Bryn Pinner is a registered financial advisor currently at MUSTARD SEED WEALTH MANAGEMENT located in Hope, Arkansas.

Laurie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Laurie has worked at 2 firms and has passed the Series 65, Series 66 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. Adam & Laurie Pinner, Not investment-related, 108 East 19th Street, Hope, AR, Nature of business Commercial Rental, Position held: 50% Owner, Start date with Business: 10/1/23, Hours worked per month 12; Hours worked during security trading hours 1

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie Bryn Pinner's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 13, 2013 - Present

MUSTARD SEED WEALTH MANAGEMENT

Office #1: 108 East 19th, Hope, AR 71801

RIA

CRD#: 117737

HOPE, AR

Past

October 29, 2012 - December 13, 2013

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MUSTARD SEED WEALTH MANAGEMENT

ASHBY, JAMES DAVID | MUSTARD SEED WEALTH MANAGEMENT | MUSTARD SEED FINANCIAL, LLC

CRD#: 117737 / SEC#: 801-66155

RIA

Registered Investment Advisory firm - (5/2/2006 Approved)

Arkansas

Registered Investment Advisory firm - (5/3/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(12/13/2013)

IAR

Louisiana
(11/25/2014)

IAR

Texas
(11/25/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/6/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 10/26/2012

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MUSTARD SEED WEALTH MANAGEMENT

ASHBY, JAMES DAVID | MUSTARD SEED WEALTH MANAGEMENT | MUSTARD SEED FINANCIAL, LLC

CRD#: 117737 / SEC#: 801-66155

RIA

Registered Investment Advisory firm - (5/2/2006 Approved)

Arkansas

Registered Investment Advisory firm - (5/3/2006 Terminated)

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Contact information

Main Address

202 S. Pine, Magnolia, AR 71753

Mailing Address

Phone number

(870) 234-1618

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MUSTARD SEED FORM ADV PART 2A (2/20/2025)

Regulatory assets under management

Total Number of Accounts	1,619
AUM (Assets Under Management)	$ 413,567,032

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.

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Laurie B. Pinner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie Bryn Pinner's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUSTARD SEED WEALTH MANAGEMENT

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

MUSTARD SEED WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2013

Series 66

Date: 6/6/2012

Series 6

Date: 10/26/2012

Current Firm

MUSTARD SEED WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MUSTARD SEED WEALTH MANAGEMENT

TRUST BUT VERIFY

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