Laura A. Maher

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CRD#: 6761262

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 Ann Maher, who also goes by Laura Maher, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 2017. Laura had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Laura Maher

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.) Merit Financial Advisors. Investment-Related. At registered Location. RIA. IAR. 10/2024. 160. 160. Service Clients.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

November 11, 2024 - June 9, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Spokane, WA

Past

October 31, 2024 - June 11, 2025

MERIT FINANCIAL ADVISORS

RIA

CRD#: 142457

Spokane, WA

Past

January 29, 2024 - June 4, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Spokane Valley, WA

Past

January 26, 2024 - June 4, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Spokane Valley, WA

Past

March 1, 2022 - December 20, 2023

D.A. DAVIDSON & CO.

RIA

CRD#: 199

SPOKANE, WA

Past

March 1, 2022 - December 20, 2023

D.A. DAVIDSON & CO.

CRD#: 199

SPOKANE, WA

Past

May 2, 2018 - February 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SPOKANE, WA

Past

May 2, 2017 - February 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SPOKANE, WA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/20/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/2/2017

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/25/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/22/2024

General Securities Sales Supervisor - Options Module Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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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Advisor Monitoring

Firm Stability Insights

Laura A. Maher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERIT FINANCIAL ADVISORS

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2018

Series 63

Date: 5/11/2017

Series 7TO

Date: 8/20/2020

SIE

Date: 10/1/2018

Series 6

Date: 5/2/2017

Series 10

Date: 3/25/2024

Series 9

Date: 2/22/2024

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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