LF
Lara E. Ferguson
CITIZENS SECURITIES
Charlotte, NC
Some features on this profile are disabled
CRD#: 6959306
LF
Professional summary
Lara Elizabeth Ferguson, CFP®, who also goes by Lara Morefield Clay, Lara Elizabeth Morefield, Lara Elizabeth Sheehan, Lara Michelle Strattan, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Charlotte, North Carolina.
Lara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Lara has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lara Morefield Clay | Lara Elizabeth Morefield | Lara Elizabeth Sheehan | Lara Michelle Strattan
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. 12/1/2020 - DAVINCI INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 12/9/2020 - DaVinci Financial Designs - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Registered Admin. - Started 3/18/2020 - 160 Hours Per Month During Securities Trading - Time Spent 100% - I provide administrative support to DaVinci Financial Designs, an independent investment advisor firm. I started this business activity in 12/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. LPL Financial LLC; Investment-Related; Columbia, SC; Broker Dealer/Investment Adviser; Registered Administrative Associate; 12/2020; 8 hrs/mo; 8 hrs/mo during securities trading hours; Duties are junior advisor role.
CRS (Client Relationship Summary) - RIA
Click below to view Lara Elizabeth Ferguson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lara Elizabeth Ferguson's 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®
Experience
Current
March 4, 2022 - Present
CITIZENS SECURITIES, INC.
RIA
BD
CRD#: 39550
Charlotte, NC
Current
March 4, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 200 Station Drive, Westwood, MA 02090RIA
BD
CRD#: 39550
Westwood, MA
Past
June 2, 2021 - March 17, 2022
DAVINCI FINANCIAL DESIGNS
RIA
CRD#: 163362
COLUMBIA, SC
Past
May 25, 2021 - July 7, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
FOREST ACRES, SC
Past
January 26, 2021 - March 3, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
FOREST ACRES, SC
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(3/4/2022)
IAR
Connecticut(3/4/2022)
RR
Delaware(3/4/2022)
IAR
Delaware(3/4/2022)
RR
Florida(3/4/2022)
IAR
Florida(3/7/2022)
RR
Massachusetts(3/4/2022)
RR
Michigan(3/4/2022)
IAR
Michigan(3/4/2022)
RR
New Hampshire(3/4/2022)
IAR
New Hampshire(3/4/2022)
RR
New Jersey(3/4/2022)
IAR
New Jersey(3/8/2022)
RR
New York(3/4/2022)
IAR
New York(3/4/2022)
RR
Ohio(3/4/2022)
IAR
Ohio(3/4/2022)
RR
Pennsylvania(3/4/2022)
IAR
Pennsylvania(3/4/2022)
RR
Rhode Island(3/4/2022)
IAR
Rhode Island(3/4/2022)
RR
Vermont(3/4/2022)
IAR
Vermont(3/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/26/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
