Laura Sweezey, financial advisor Pembroke MA

Laura Sweezey

CRD Number: 1806165
Current Firm: Laguna Investment Services

Laura Sweezey (CRD# 1806165) is an Investment Advisor Representative working at Laguna Investment Services in Pembroke, MA and has over 34 years of experience in the finance industry. Laura Sweezey has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Linsco / Private Ledger Laguna Niguel, CA Mar 2003 - Current 19
Laguna Investment Services Pembroke, MA Mar 2003 - Current 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1988
S65 NASAA Investment Advisors Law Examination Apr 1996
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Laura J. Sweezey
Phone Number: 949-388-8918
Registered State(s):
  • CA
  • MA
Current Firm Details
Laguna Investment Services
Firm's CRD Number: 146442
By the Numbers
  • Total Assets Under Management
    2
    MILLIONS
  • Total Number of Accounts
    25
    ACCOUNTS
  • Average Account Value
    $78,417
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Educational seminars/workshops
Types of Clients
Registered States

CA, MA

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