Lawrence R. O'callaghan
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 Robert O'callaghan, who also goes by Larry Ocallaghan, Lawrence Robert Ocallaghan, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 10 firms and has passed the Series 63, Series 7 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
November 8, 2010 - October 2, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
July 23, 2010 - November 8, 2010
VSR FINANCIAL SERVICES, INC.
July 20, 2004 - July 23, 2010
FINTEGRA, LLC
May 9, 1997 - August 3, 2004
HUNTINGDON SECURITIES CORPORATION
April 18, 1995 - May 1, 1997
VARIABLE ASSET STRATEGIES, INC.
September 12, 1990 - March 31, 1995
SECURITIES AMERICA, INC.
August 26, 1987 - August 20, 1990
A. G. EDWARDS & SONS, INC.
May 21, 1984 - August 19, 1987
E. F. HUTTON & COMPANY INC
October 12, 1983 - November 3, 1983
CADARET, GRANT & CO., INC.
October 12, 1983 - May 12, 1984
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| HARRIS, KEVIN ANDRE | FINOP | 7061906 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
