Lauralea Pfendler is a registered investment advisor, based in Lexington, KY, with 16 years of industry experience.
Location
2424 Harrosburg Rd, Suite 101, Lexington, KY, 40503
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Lauralea works as a financial advisor assistant at Central Bank & Trust and Central Investment Center, Inc. These roles each take about 10-20% of her time.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
January 2024 - Present · 2 yrs 4 mos
Raymond James Financial Services Advisors, INC
January 2024 - Present · 2 yrs 4 mos
Previous Registrations
Robert W. Baird & CO. Incorporated
October 2021 - January 2024 · 2 yrs 3 mos
Robert W. Baird & CO. IncorporatedBroker
October 2019 - January 2024 · 4 yrs 3 mos
J.J.B. Hilliard, W.L. Lyons, LLCBroker
July 2018 - October 2019 · 1 yr 3 mos
Silber Bennett Financial, INC.Broker
March 2016 - June 2017 · 1 yr 3 mos
Quest Capital Strategies, INC.Broker
February 2014 - October 2014 · 8 mos
Arete Wealth Management, LLCBroker
January 2014 - February 2014 · 1 mo
Ari Financial Services, INC.Broker
June 2010 - December 2013 · 3 yrs 6 mos
Orchard Securities, LLCBroker
January 2008 - September 2008 · 8 mos
Ari Financial Services, INC.Broker
July 2006 - November 2007 · 1 yr 4 mos
Burch & Company, INCBroker
July 2005 - August 2006 · 1 yr 1 mo
State Registrations36 states
ALARAZCACODCDEFLGAHIILINKSKYLAMAMDMIMNMOMSNCNMNVNYOHOKORPASCTNTXVAWAWIWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.