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LR

Laura A. Regnier

Some features on this profile are disabled
CRD#: 704263
LR

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 Anne Regnier, who also goes by Laura Anne Soderstrom, was a registered financial professional .

Laura is a previously registered financial professional and started their career in finance in 1980. Laura had worked at 13 firms and has passed the Series 66, SIE, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laura Anne Soderstrom

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.

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

July 20, 2010 - June 26, 2019

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
ROSEVILLE, CA
Past

June 11, 2010 - June 26, 2019

AW SECURITIES

BD
CRD#: 103747
ROSEVILLE, CA
Past

June 1, 2009 - January 14, 2010

MORGAN STANLEY

RIA
CRD#: 149777
ROSEVILLE, CA
Past

June 1, 2009 - January 14, 2010

MORGAN STANLEY

BD
CRD#: 149777
ROSEVILLE, CA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ROSEVILLE, CA
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ROSEVILLE, CA
Past

July 7, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
ROSEVILLE, CA
Past

July 7, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
ROSEVILLE, CA
Past

September 21, 2005 - June 14, 2006

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ROSEVILLE, CA
Past

September 21, 2005 - June 14, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
ROSEVILLE, CA
Past

July 30, 2002 - August 23, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WALNUT CREEK, CA
Past

March 21, 2002 - August 23, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 15, 1989 - October 11, 1990

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
Past

November 19, 1989 - January 1, 1990

OSAIC WEALTH, INC.

BD
CRD#: 23131
Past

October 27, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

December 17, 1986 - November 3, 1988

CHRISTOPHER WEIL & COMPANY, INC

BD
CRD#: 6566
Past

July 12, 1984 - January 14, 1987

PLANVEST CAPITAL CORPORATION

BD
CRD#: 14849
Past

April 5, 1984 - July 20, 1984

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

February 4, 1980 - March 26, 1984

EQUITEC SECURITIES COMPANY

BD
CRD#: 6463

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".
ALLWORTH FINANCIAL, L.P.
ALLWORTH FINANCIAL, L.P.
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL

CRD#: 111167 / SEC#: 801-68255

RIA
Registered Investment Advisory firm - (8/27/2007 Approved)
California
Registered Investment Advisory firm - (8/30/2007 Terminated)
Georgia
Registered Investment Advisory firm - (8/29/2007 Terminated)
Illinois
Registered Investment Advisory firm - (8/29/2007 Terminated)
Texas
Registered Investment Advisory firm - (8/29/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - (8/29/2007 Terminated)

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
RR
IAR
Series 66
Date: 7/27/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 1/22/1980
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/1985
General Securities Principal Examination

Current Firm

ALLWORTH FINANCIAL, L.P.
ALLWORTH FINANCIAL, L.P.
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL

CRD#: 111167 / SEC#: 801-68255

RIA
Registered Investment Advisory firm - (8/27/2007 Approved)
California
Registered Investment Advisory firm - (8/30/2007 Terminated)
Georgia
Registered Investment Advisory firm - (8/29/2007 Terminated)
Illinois
Registered Investment Advisory firm - (8/29/2007 Terminated)
Texas
Registered Investment Advisory firm - (8/29/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - (8/29/2007 Terminated)
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Contact information

Main Address
340 Palladio Pkwy. Suite 501, Folsom, CA 95630
Mailing Address
Phone number
(916) 482-2196
Established
Firm type
Fiscal year end
# of Employees
466

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (12/11/2025)
FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts64,930
AUM (Assets Under Management)$ 25,097,132,975

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/09/2025
Cover Page
Report
02/05/2025
Cover Page
Report

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.

Company Information

ALLWORTH FINANCIAL, L.P.

ALLWORTH FINANCIAL, L.P.

CRD#: 111167

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