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Laura Marie Conner

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Information

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

Laura Conner is a financial professional at LPL Financial LLC, a broker-dealer with over 17,900 registered representatives nationwide. Laura has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
LPL Financial LLC 12 months 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
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 12/14/2007
Uniform Combined State Law ExaminationSeries 66 03/30/2007
General Securities Principal ExaminationSeries 24 01/19/2007
General Securities Representative ExaminationSeries 7 11/22/2006

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
State or Municipal Government Entities
Insurance Companies

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

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
08/29/2013
06/11/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions