Lawrence L. Mancini
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 Louis Mancini was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2016 - December 31, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 28, 2016 - December 31, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 29, 2016 - March 24, 2016
EQUITY SERVICES, INC.
February 25, 2016 - March 24, 2016
EQUITY SERVICES, INC.
February 12, 2014 - February 26, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 14, 2012 - February 26, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 9, 2003 - May 31, 2012
VALIC FINANCIAL ADVISORS, INC.
February 5, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
February 5, 2001 - May 31, 2012
VALIC FINANCIAL ADVISORS, INC.
June 6, 2000 - February 27, 2001
METROPOLITAN LIFE INSURANCE COMPANY
June 6, 2000 - February 27, 2001
MSI FINANCIAL SERVICES, INC.
July 20, 1999 - November 11, 1999
PARK AVENUE SECURITIES LLC
January 1, 1998 - August 10, 1998
AON SECURITIES LLC
January 7, 1994 - March 21, 1996
USLIFE EQUITY SALES CORP.
May 23, 1991 - March 14, 1992
VOYA RETIREMENT ADVISORS, LLC
June 29, 1988 - November 18, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 24, 1988 - November 18, 1989
SIGNATOR INVESTORS, INC.
February 25, 1988 - June 28, 1988
CADARET, GRANT & CO., INC.
March 15, 1983 - November 18, 1989
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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