Registered Investment Advisor
Series 7, 63, 65 Stockbroker
Delivered financial advice to clients, proposing strategies to achieve goals and objectives for investments, insurance, business and estate planning. Identified, developed and secured new client relationships through traditional networking and online marketing. Created personal financial plans based on interview with clients. Responsible for establishing health benefit administration, retirement administration, new employee paperwork and staff issues. Technologist of computer related issues and company web development. Assure compliance with SEC and company policies and procedures and set forth in the Form ADV document.
publicity
Financial Planning Magazine®
Featured in a cover article published in 2004 in Financial Planning Magazine: “Brave New Web” began “Laura (Scroggins) has a client who is an American woman living in Japan. The two women have never met or talked on the phone“.
Financial Planning Magazine®
Featured in an article “To Link or Not to Link” published in Financial Planning Magazine which discussed my 85 page website at financialfuture.com. The article described my marketing and web strategies.
Horsesmouth®
Professional referrals can be a sustainable source of referrals. In 2003, the advisory company Horsesmouth® published an article that described my success in creating a referral network.
Horsesmouth®
When the tech market tanked, my “adapt and change” marketing strategy was the subject of a published case study. The study was published by Horsesmouth® in 2004.
