LG
Lawrence J. Ganim
GANIM PRIVATE WEALTH
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 1088738
LG
Professional summary
Lawrence John Ganim, who also goes by Larry Ganim, is a registered financial advisor currently at GANIM PRIVATE WEALTH located in Shelton, Connecticut and KESTRA ADVISORY SERVICES, LLC located in Naples, Florida.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Lawrence has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Ganim
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Busi Name: Coastline Holdings Group,LLC Investment Related: No Address: 2 Enterprise Drive Suite 305 Shelton CT 06484 Nat of Business: Other Other/None of the Above Holding company Title: 1099 Employee Start Date: 12/28/2020 Hrs/mth: 0% - 10% (0 - 16 hrs) Hrs/mth during trading hours: 31% - 40% (43 - 56 hours) Duties: Sales Busi Name: Ganim Insurance Consultants, Inc. Investment Related: Yes Address: 2 Enterprise Drive, Suite 305 Shelton CT 06484 Nat of Business: Insurance Title: President Start Date: 1/1/2019 Hrs/mth: 11% - 20% (17 - 32 hrs) Hrs/mth during trading hrs: 0% - 10% (0 - 14 hrs) Duties: Sales and Management Busi Name: Ganim Financial, Inc dba Ganim Financial Investment Related: No Address: 2429 North Avenue Bridgeport CT 06604 Nat of Business: Other Other/None of the Above Holding Company all activities take place within the underlying companies and all common bills and payroll will be through Ganim Management, Inc. Title: President/CEO and sole owner Start Date: 1/1/2019 Hrs/mth: 31% - 40% (49 - 64 hrs) Hrs/mth during trading hrs: 11% - 20% (15 - 28 hrs) Duties: overall management of the business and underlying businesses Busi Name: Ganim Financial Investment Related: No Address: 2429 North Avenue Bridgeport CT 06604 Nat of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Title: President/CEO and sole shareholder Start Date: 8/17/2015 Hrs/mth: 51% - 60% (81 - 96 hours) Hrs/mth during trading hours: 31% - 40% (43 - 56 hrs) Duties: Sales and management Busi Name: Lawrence Ganim Investment Related: No Address: 45 Ironwood Road Trumbull CT 06611 Nat of Business: will promote the book online and with business owners Title: author Start Date: 9/12/2017 Hrs/mth: 0% - 10% (0 - 16 hrs) Hrs/mth during trading hrs: 0% - 10% (0 - 14 hrs) Duties: none Busi Name: GFS Wealth Management Advisors, Inc. Investment Related: Yes Address: 2429 North Ave Bridgeport CT 06604 Nat of Business: Investment Advisory services through an independent outside RIA Title: President Start Date: 12/1/2016 Hrs/mth: 51% - 60% (81 - 96 hrs) Hrs/mth during trading hours: 41% - 50% (57 - 70 hrs) Duties: Management and investment advice and financial planning Bus Name: Ganim Brothers Realty, LLC Investment Related: No Address: 2429 North Avenue Bridgeport CT 06604 Nature of Business: Real Estate Title: Owner Start Date: 1/1/1991 Hrs/mth: 11% - 20% (17 - 32 hours) Hrs/mth during trading hrs: 0% - 10% (0 - 14 hrs) Duties: Manage the properties GANIM ADVISORS, LLC POSITION: Member NATURE: Created to recieve 1099 income distributions INVESTMENT RELATED: No NUMBER OF HRS: 1 SECURITIES TRADING HOURS: 4 START DATE: 12/20/2021 ADDRESS: 6469 Pembroke Way, Naples FL 34113, United States DESCRIPTION: Sole member, tax reporting etc. Bus Name: RIDGEBACK GROUP, LLC POSI: Member NOB: Insurance INV REL: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 20 START DATE: 10/23/2023 ADDRESS: 1 Raymond Rd Ste 231, West Hartford CT 06107 DESC: Will utilize back office services in the sale and servicing of life insurance and related products. This is similar to my association with Lion Street.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence John Ganim's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 3, 2017 - Present
GANIM PRIVATE WEALTH
Office #1: 2 Enterprise Drive Suite 305, Shelton, CT 06484RIA
CRD#: 285679
Shelton, CT
Current
May 1, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #3: 2 Enterprise Drive Suite 305, Shelton, CT 06484RIA
CRD#: 283330
Naples, FL
Current
July 10, 2000 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2 Enterprise Drive Suite 305, Shelton, CT 06484BD
CRD#: 42046
Shelton, CT
Past
April 18, 2016 - July 13, 2017
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
BRIDGEPORT, CT
Past
September 13, 2000 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
AUSTIN, TX
Past
January 6, 1999 - July 7, 2000
POLARIS FINANCIAL SERVICES, INC.
BD
CRD#: 14521
CONCORD, NH
Past
May 4, 1989 - January 22, 1999
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 20, 1988 - January 1, 1989
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
November 22, 1985 - May 20, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
BD
CRD#: 7303
Past
February 4, 1983 - July 15, 1985
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(7/10/2000)
IAR
Connecticut(2/3/2017)
RR
Florida(7/10/2000)
IAR
Florida(3/27/2019)
RR
Kentucky(8/6/2013)
RR
Maine(8/10/2010)
RR
Massachusetts(7/10/2000)
RR
New Hampshire(4/1/2015)
RR
New Jersey(7/10/2000)
RR
New York(7/10/2000)
RR
North Carolina(1/22/2013)
RR
Ohio(12/4/2006)
RR
South Carolina(4/13/2012)
RR
Texas(2/12/2001)
IAR
Texas(1/29/2018)
IAR
Texas(5/1/2023)
RR
Vermont(4/6/2015)
RR
Virginia(3/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Shelton, CT 06484TRUST BUT VERIFY
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Contact information
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