Laura R. Haupt
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 Rose Haupt, CFP®, who also goes by Laura Rose Pechacek, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2014. Laura had worked at 4 firms and has passed the Series 63, Series 7TO, 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
Start date: 2016
Experience
October 31, 2024 - February 11, 2026
NEPSIS, INC.
September 20, 2021 - October 17, 2024
FACET
June 17, 2016 - September 10, 2021
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
January 5, 2015 - September 10, 2021
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
April 22, 2014 - October 17, 2014
BATES SECURITIES, INC.
Primary Firm SEC Registration
NEPSIS, INC.
CRD#: 141203 / SEC#: 801-67023
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
Series 7TO
Date: 6/29/2024
General Securities Representative ExaminationCurrent Firm
NEPSIS, INC.
CRD#: 141203 / SEC#: 801-67023
Contact information
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,267 |
| AUM (Assets Under Management) | $ 344,509,038 |
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.
