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LAURIE ELLEN INGWERSEN
LAURIE E INGWERSEN, LAURIE MOGHADDAM
CRD#: 4066323
IA
Investment Adviser
B
Broker
ALLWORTH FINANCIAL, L.P.CRD#: 111167 800 South Street
Suite 350
Waltham, MA 02451
AW SECURITIESCRD#: 103747 800 South Street
Suite 350
Waltham, MA 02453
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2023 (6 years)2 FIRMS2023 - Present (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2016 (7 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2008 (5 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2000 - 2003 (3 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2006 - 2008 (2 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Arizona 7/5/2023

IA
Massachusetts 8/1/2023

B
California 7/5/2023

B
New Hampshire 7/5/2023

B
Florida 7/5/2023

B
New York 7/5/2023

B
Maine 7/5/2023

B
Ohio 7/6/2023

B
Massachusetts 7/5/2023

B
Tennessee 7/5/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ALLWORTH FINANCIAL, L.P. (CRD#:111167)
800 South Street Suite 350, Waltham, MA 02451
Registered with this firm since 7/5/2023

B
AW SECURITIES (CRD#:103747)
800 South Street Suite 350, Waltham, MA 02453
Registered with this firm since 7/5/2023

Previous Registration(s)
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IA
10/04/2016 - 08/10/2023 THE HARVEST GROUP (CRD#:283572) WALTHAM, MA
B
09/30/2016 - 06/30/2023 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Waltham, MA
B
12/12/2008 - 10/11/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) WELLESLEY, MA
IA
07/28/2006 - 12/15/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) WALTHAM, MA
B
07/01/2003 - 12/15/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
04/18/2006 - 06/26/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) WALTHAM, MA
B
02/04/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.