Laura RudolphCRD Number: 1877204
Current Firm: J.p. Morgan Securities LLC
Laura Rudolph (CRD# 1877204) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Selden, NY and has over 28 years of experience in the finance industry.
Axa Advisors, LLC
American Portfolios Advisors, Inc.
Royal Alliance Associates, Inc.
|J.p. Morgan Securities LLC||Selden, NY||Oct 2012 - Current||4|
|Chase Investment Services Corp.||New York, NY||Sep 1996 - Oct 2012||16|
|Chase Investment Services Corp||New York, NY||Sep 1996 - Oct 2012||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1988|
|S65||NASAA Investment Advisors Law Examination||Oct 1997|
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management70,743MILLIONS
Total Number of Accounts344,720ACCOUNTS
Average Account Value$205,219
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV