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RIA / WealthAdvisor29 years in industry

LAURA ANN SIMON

Advisor at CAPITAL TRUST AND ASSOCIATES LLC

WOODBRIDGE, CT

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Search this name across graphsid dfx:ria:6ea7f1b2-300b-d7a7-6a98-3e97fb513db1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 15, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITAL TRUST AND ASSOCIATES LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 15, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 15, 1997
First registration: Jun 15, 1997
Dual registered: no
Other names: LAURA ANN STANTON|LAURA A STANTON
IAPD individual key: 1766631

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITAL TRUST AND ASSOCIATES LLC	State registered	Aug 7, 2013	n/a	yes	WOODBRIDGE, CT\|WOODBRIDGE, CT	Current employment
LEGACY SQUARED, LLC	n/a	May 30, 2013	Sep 6, 2013	no	MILFORD, CT	Previous registration
HERITAGE CAPITAL, LLC	Independent wealth	Nov 2, 2012	May 24, 2013	no	WOODBRIDGE, CT	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 15, 1997	Aug 3, 2005	no	FAIRFIELD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LEGACY SQUARED, LLC	CAPITAL TRUST AND ASSOCIATES LLC	Sep 6, 2013	Aug 7, 2013	-30	Firm change	Other
HERITAGE CAPITAL, LLC	LEGACY SQUARED, LLC	May 24, 2013	May 30, 2013	6	Firm change	Other
MML INVESTORS SERVICES, LLC	HERITAGE CAPITAL, LLC	Aug 3, 2005	Nov 2, 2012	2,648	Firm change after gap	Other

Relationships

Registered with (4)

→ CAPITAL TRUST AND ASSOCIATES LLCRegistered adviserregistration: current employment
Aug 7, 2013 to presentfactForm ADV
→ LEGACY SQUARED, LLCRegistered adviserregistration: previous registration
May 30, 2013 to Sep 6, 2013factForm ADV
→ HERITAGE CAPITAL, LLCRegistered adviserregistration: previous registration
Nov 2, 2012 to May 24, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 15, 1997 to Aug 3, 2005factForm ADV

Dated events

No dated event names this entity yet.