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Laurie Ann Gerstenkorn

CRD# 5919725·Registered 2011 - 2015
Previously Registered: Being a previously registered professional could mean that Laurie 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.

Professional Summary

Laurie Ann Gerstenkorn was a registered financial advisor. Laurie was a previously registered financial professional and started their career in finance 2011 - 2015. Laurie had worked at 2 firms and has passed the Series 28 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

15 years in the financial services industry

Current & Past Employments

KPMG CORPORATE FINANCE LLC·CRD# 103973
BD
Denver, CO
June 26, 2014 - April 8, 2015
ST. CHARLES CAPITAL, LLC·CRD# 133685
BD
Denver, CO
June 13, 2011 - July 2, 2014

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Current Firm

KC
KPMG CORPORATE FINANCE LLC

KPMC CORPORATE FINANCE LLC | KPMG CORPORATE FINANCE LLC

CRD#: 103973 / SEC#: 8-52462
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436

Mailing Address

200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436

Phone Number

(312) 665-3100

Established

Delaware since 02/08/2000

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
KPMG LLPOWNER—
BROKMEIER, REBECCA EWINGPRESIDENT4704333
IZAGUIRRE, ALFREDOCHIEF COMPLIANCE OFFICER2055065
OZTAN, EROL MURATFINOP, PRINCIPAL FINANCIAL OFFICER5493662

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Jun 2011About the Series 28 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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LG
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