Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Laurie Laucks
Laurie Ann Laucks, Laurie A Laucks-Travis, Laurie A Mathes
CRD#: 6737493
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 820 VALLEY ROAD SUITE 102
MOCKSVILLE, NC 27028-0000
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
10/4/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/31/2022
IA
North Carolina 8/7/2017
B
California 10/8/2018
B
Ohio 10/11/2024
B
Florida 8/9/2017
B
Pennsylvania 6/2/2022
B
Georgia 5/22/2023
B
South Carolina 9/10/2019
B
Illinois 5/17/2019
B
Texas 6/29/2018
B
Indiana 11/28/2023
IA
Texas 1/17/2019
B
New Jersey 9/10/2019
B
Virginia 3/21/2018
B
North Carolina 5/30/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
820 VALLEY ROAD SUITE 102, MOCKSVILLE, NC 27028-0000
Registered with this firm since 8/7/2017
B
EDWARD JONES (CRD#:250)
820 VALLEY ROAD SUITE 102, MOCKSVILLE, NC 27028-0000
Registered with this firm since 4/27/2017
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.