Individual Firm
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LAURA JONES
LAURA STREULI JONES, LAURA LOUISE STREULI
CRD#: 1200419
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10400 NE 4TH ST
BELLEVUE, WA 98004
BELLEVUE, WA 98004
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Disclosures
37
Years of Experience
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State Registrations
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Texas 11/26/2012
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Washington 3/16/2010
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Washington 3/16/2010
SRO Registrations
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Registered with this firm since 3/16/2010
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Registered with this firm since 3/16/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/08/2009 - 02/26/2010 | MOUNT VERNON, WA | |
B | 10/08/2009 - 02/26/2010 | MOUNT VERNON, WA | |
IA | 05/15/2009 - 06/22/2009 | BURLINGTON, WA | |
B | 05/15/2009 - 06/22/2009 | BURLINGTON, WA | |
IA | 07/09/2002 - 04/28/2009 | BURLINGTON, WA | |
B | 07/09/2002 - 04/28/2009 | BURLINGTON, WA | |
B | 05/06/1993 - 06/12/2002 | CAMANO ISLAND, WA | |
B | 01/20/1989 - 04/22/1991 | ||
B | 01/02/1984 - 09/08/1987 | ||
B | 10/20/1983 - 12/19/1983 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.