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Information

Other Names: Laura M Ferlin, Laura Marie Ferlin
Firm:
Additional Firm:
Type: Dual Registration
Description

Laura Conner is a financial professional at Lof Lopez & Associates, LLC, an $84M RIA based in Old Fort Lowell, AZ. Laura is also registered with LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Laura has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Laura Marie Conner has not answered any questions on Financial Q&A.

Top Guides

Laura Marie Conner has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
LPL Financial LLC 8 months, 3 weeks Aug 2013 - Present
Cambridge Investment Research, Inc. 5 years, 7 months Jan 2008 - Aug 2013
Cambridge Investment Research, Inc. 6 years Aug 2007 - Aug 2013
Lof Lopez & Associates, LLC 6 years, 2 months Jun 2007 - Aug 2013
LPL Financial LLC 2 years, 2 months Apr 2005 - Jun 2007
On Call Temporary Services 3 months Jan 2005 - Apr 2005
Tax Relief Network, Inc. 6 months May 2004 - Nov 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/29/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
08/29/2013
02/08/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 12/14/2007
Uniform Combined State Law Examination Series 66 03/30/2007
General Securities Principal Examination Series 24 01/19/2007
General Securities Representative Examination Series 7 11/22/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SOLICITOR/REFERRAL FEES