Laura A. Bottaro
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 Bottaro, who also goes by Laura Ann Bottaro Kacewicz, Laura Bottaro-costner, Laura Ann Kacewicz, Laura Bottaro Kacewicz, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1979. Laura had worked at 10 firms and has passed the Series 63, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2003 - January 24, 2013
MSI FINANCIAL SERVICES, INC.
October 14, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 14, 2003 - January 24, 2013
MSI FINANCIAL SERVICES, INC.
May 3, 2002 - October 17, 2003
IDS LIFE INSURANCE COMPANY
May 3, 2002 - October 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 5, 1999 - May 2, 2002
NEW ENGLAND SECURITIES
January 30, 1998 - April 8, 1999
WMA SECURITIES, INC.
December 23, 1994 - February 9, 1996
IDS LIFE INSURANCE COMPANY
December 23, 1994 - February 9, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 1994 - October 28, 1994
CHARLES SCHWAB & CO., INC.
April 25, 1986 - February 18, 1994
CETERA WEALTH SERVICES, LLC
July 25, 1983 - May 6, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1981 - August 29, 1983
UBS FINANCIAL SERVICES INC.
February 26, 1979 - August 18, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 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.
