Laura Warnock has been an investment adviser representative at Lone Peak Advisers since May 2024, and is not listed among the firm’s executive officers or direct owners.
Lone Peak Advisers, LLC is a Draper, UT firm with $125M under management, 905 clients and 8 advisers in one office, as of its March 2026 filing.
Laura Warnock’s longest registration was 6 years at Berthel Fisher & Company Financial Services, Inc. (2008–2014). Before joining Lone Peak Advisers in 2024, Laura Warnock was registered through Founders Financial Securities, LLC and LPL Financial LLC.
- Founders Financial Securities, LLC– · 4 yearsSalt Lake City, UT · Adviser representative · Firm CRD 137945
- LPL Financial LLC– · 3 yearsSandy, UT · Adviser representative · Firm CRD 6413
- Financial Advocates Investment Management– · 4 yearsSalt Lake City, UT · Adviser representative · Firm CRD 151298
- Berthel Fisher & Company Financial Services, Inc.– · 6 yearsSalt Lake City, UT · Adviser representative · Firm CRD 13609
- Money Concepts Capital Corp– · under a yearSalt Lake City, UT · Adviser representative · Firm CRD 12963
- Wells Fargo Investments, LLC– · 2 yearsSalt Lake City, UT · Adviser representative · Firm CRD 10582
- Citigroup Global Markets Inc.– · 3 yearsSalt Lake City, UT · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Laura Warnock is registered as an investment adviser representative in Utah, since May 2024.
- UtahSince 3 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 2 November 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 August 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 August 2000 |
| Series 7 | General Securities Representative Examination | 19 July 2000 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Laura Carrera Warnock
- CRD
- 4220434
- Firm
- Lone Peak Advisers · CRD 296772
- Office
- 11650 SOUTH STATE STREET, SUITE 200, Draper, UT 84020-7150
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Laura Warnock work?
Laura Warnock is an investment adviser representative registered through Lone Peak Advisers, LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Laura Warnock a financial advisor?
Yes. Laura Warnock has a current investment-adviser registration in Utah, through Lone Peak Advisers since May 2024.
How many years of experience does Laura Warnock have?
Laura Warnock has 26 years in the financial industry, since September 2000, across 8 adviser firms.
What exams has Laura Warnock passed?
Laura Warnock has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 31 and Series 6TO. The earliest, the Series 7, was passed in July 2000. FINRA credited Laura Warnock with the SIE, which began in October 2018.
Where did Laura Warnock work before Lone Peak Advisers?
Before Lone Peak Advisers, Laura Warnock was registered through Founders Financial Securities, LLC, August 2019 to May 2024; LPL Financial LLC, February 2016 to August 2019; Financial Advocates Investment Management, November 2014 to August 2019; Berthel Fisher & Company Financial Services, Inc., May 2008 to November 2014; Money Concepts Capital Corp, June 2007 to May 2008; Wells Fargo Investments, LLC, September 2004 to May 2007; Citigroup Global Markets Inc., August 2000 to August 2004.
Where is Laura Warnock based?
Laura Warnock’s registered office is in Draper, UT.
Is Laura Warnock registered with FINRA?
Yes. Laura Warnock has a current broker registration, under CRD 4220434.
Source: FINRA BrokerCheck
How can I verify Laura Warnock’s record?
Search CRD 4220434 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Laura Warnock’s full registration record.