Laurie V. Latham
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.
Laurie Virginia Latham, who also goes by Laurie S. Latham, Laurie VIrginia Shryock, was a registered financial professional .
Laurie is a previously registered financial professional and started their career in finance in 1981. Laurie had worked at 3 firms and has passed the Series 66, Series 63, 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
Experience
August 17, 2015 - May 2, 2022
ARIES WEALTH MANAGEMENT, LLC
October 30, 2002 - August 24, 2015
UBS FINANCIAL SERVICES INC.
January 28, 1995 - August 24, 2015
UBS FINANCIAL SERVICES INC.
April 13, 1981 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
ARIES WEALTH MANAGEMENT, LLC
CRD#: 175477 / SEC#: 801-86180
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
Current Firm
ARIES WEALTH MANAGEMENT, LLC
CRD#: 175477 / SEC#: 801-86180
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 593 |
| AUM (Assets Under Management) | $ 530,707,864 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 10/19/2022 |
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.
