Laura Scheppele
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 Scheppele, who also goes by Laura D. Johnson, Laura D. Scheppele, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 2020. Laura had worked at 11 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2025 - July 31, 2026
LPL FINANCIAL LLC
June 12, 2025 - July 31, 2026
LPL FINANCIAL LLC
March 21, 2024 - June 13, 2025
GROVE POINT INVESTMENTS, LLC
March 18, 2022 - June 13, 2025
CADARET, GRANT & CO., INC.
March 18, 2022 - June 13, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 18, 2022 - June 13, 2025
SORRENTO PACIFIC FINANCIAL, LLC
March 18, 2022 - June 13, 2025
SCF SECURITIES, INC.
March 18, 2022 - June 13, 2025
NEXT FINANCIAL GROUP, INC.
March 18, 2022 - June 13, 2025
CUSO FINANCIAL SERVICES, L.P.
March 18, 2022 - June 13, 2025
CADARET, GRANT & CO., INC.
February 16, 2022 - March 11, 2022
OSAIC FA, INC.
October 14, 2021 - March 11, 2022
OSAIC FS, INC.
October 14, 2021 - March 11, 2022
OSAIC FA, INC.
May 18, 2021 - October 8, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 2020 - October 8, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 6/12/2025
Operations Professional ExaminationSeries 7TO
Date: 12/10/2020
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
