Laura Jean Sweezey

Employer firm

Laguna Investment Services CRD 146442

$2.46M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

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

Current Employers

Laguna Investment Services

Pembroke, MA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APP_PEND_IARCE	2026-01-01
MA	RA	APPROVED	2015-01-02

CA RA
APP_PEND_IARCE

Since 2026-01-01
MA RA
APPROVED

Since 2015-01-02

Branch Locations

Pembroke, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Linsco / Private Ledger	Laguna Niguel	CA	03/2003	Present
Laguna Investment Services	Pembroke	MA	03/2003	Present

03/2003 → Present

Linsco / Private Ledger

Laguna Niguel, CA
03/2003 → Present

Laguna Investment Services

Pembroke, MA

Previous Registrations

2003-03-28 → 2013-02-26

Lpl Financial Llc

Laguna Hills, CA
1997-07-08 → 2003-03-18

Citigroup Global Markets Inc.

Los Angeles, CA

Other Businesses

06/25/2003 - LAGUNA INVESTMENTS SERVICES 2. 01/07/08 - REAL ESTATE RENTAL - 2 CONDOMINIUMS: 2040 W. AVENUE J13 UNITS #2 & 4, LANCASTER, CA 93536 - 1% TIME SPENT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-15
S63	Uniform Securities Agent State Law Examination	1988-04-04

S65 Uniform Investment Adviser Law Examination

1996-04-15
S63 Uniform Securities Agent State Law Examination

1988-04-04

Designations

Certified Financial Planner

View on SEC IAPD