Laura Ann Simon

Employer firm

Capital Trust And Associates LLC CRD 168455

$18.0M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Capital Trust And Associates Llc

Woodbridge, CT • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2013-08-07

CT RA
APPROVED

Since 2013-08-07

Branch Locations

Woodbridge, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Capital Trust & Associates Llc	Woodbridge	CT	09/2013	Present

09/2013 → Present

Capital Trust & Associates Llc

Woodbridge, CT

Previous Registrations

2013-05-30 → 2013-09-06

Legacy Squared, Llc

Milford, CT
2012-11-02 → 2013-05-24

Heritage Capital, Llc

Woodbridge, CT
1997-06-15 → 2005-08-03

Mml Investors Services, Llc

Fairfield, CT

Other Businesses

LAURA SIMON IS AN INDEPENDENT INSURANCE AGENT. SHE IS ALSO LICENSED TO SELL LONG-TERM CARE INSURANCE IN THE STATE OF CONNECTICUT. THESE OCCUPY APPROXIMATELY 4 HOURS PER WEEK.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-10-16
S63	Uniform Securities Agent State Law Examination	1997-05-15

S65 Uniform Investment Adviser Law Examination

2012-10-16
S63 Uniform Securities Agent State Law Examination

1997-05-15

Other Names

Laura Ann Stanton
Laura A Stanton

View on SEC IAPD