Laurie Ufnowski Resigns from Her Position at Morgan Stanley
Laurie Ufnowski (CRD #: 1548386), a broker and financial advisor registered with Ameriprise Financial Services recently resigned from her position at Morgan Stanley, according to her BrokerCheck record, accessed on November 17, 2021.
Laurie Ufnowski’s Resignation Details
On August 13, 2021, Laurie Ufnowski voluntarily resigned from Morgan Stanley following allegations that she made unauthorized transfers from a family member's account, who is also a client. Morgan Stanley further alleges she failed to disclose multiple civil judgments which were settled by mediation. Brokers are required to disclose civil judgments to their firms in a timely manner.
Laurie Ufnowski has passed the following exams:
- Series 66 - Uniform Combined State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 7 - General Securities Representative Examination
She is a registered broker and investment adviser in Wisconsin.
Other than Ameriprise Financial Services, Laurie Ufnowski has also worked with the following firms:
- Morgan Stanley (CRD#:149777)
- UBS Financial Services (CRD#:8174)
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