Katherine S. Laplant
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.
Katherine Stanford Laplant, who also goes by Katherine Laplant, Kathy Laplant, Katherine Stanford Trebilcock, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1979. Katherine had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2011 - January 3, 2020
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
April 1, 2005 - November 8, 2010
BB&T ASSET MANAGEMENT, INC.
December 17, 2002 - September 30, 2003
KEYBANC CAPITAL MARKETS INC.
July 15, 1998 - August 9, 2000
DEAM INVESTOR SERVICES, INC.
November 30, 1995 - April 23, 1998
CHARLES SCHWAB & CO., INC.
November 1, 1988 - November 3, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 30, 1986 - September 25, 1990
UBS FINANCIAL SERVICES INC.
November 23, 1981 - October 16, 1986
MORGAN STANLEY DW INC.
October 8, 1979 - October 30, 1981
CIBC WORLD MARKETS CORP.
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 8
Date: 10/24/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
CRD#: 106156 / SEC#: 801-42913
Contact information
Red Flags
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