Lawrence J. Carlson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lawrence John Carlson, who also goes by Larry Carlson, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1982. Lawrence had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2018 - February 11, 2021
ABERDEEN FUND DISTRIBUTORS, LLC
March 17, 2017 - December 10, 2018
STANDARD LIFE INVESTMENTS SECURITIES LLC
February 27, 2007 - January 8, 2016
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
November 22, 2000 - March 10, 2005
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
April 27, 1999 - July 25, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 21, 1986 - December 19, 1989
SBS DISCOUNT BROKERAGE
March 30, 1982 - July 3, 1985
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
ABERDEEN FUND DISTRIBUTORS, LLC
CRD#: 146230 / SEC#: , 8-67799
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
