Lawrence M. Sinsimer
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 Mark Sinsimer, who also goes by Larry Sinsimer, Lawrence Sinsimer, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1984. Lawrence had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 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
April 26, 2010 - January 6, 2015
FIDELITY DISTRIBUTORS COMPANY LLC
August 9, 2001 - November 5, 2007
EATON VANCE MANAGEMENT
January 29, 2001 - October 31, 2007
EATON VANCE DISTRIBUTORS, INC.
July 5, 1995 - November 14, 2000
UBS FINANCIAL SERVICES INC.
January 18, 1993 - April 5, 1994
PASADENA FUND SERVICES, INC.
December 8, 1987 - November 20, 1991
SAFIAN INVESTMENT RESEARCH, INC.
June 18, 1986 - April 3, 1987
KEYPORT FINANCIAL SERVICES CORP.
January 21, 1986 - February 24, 1986
STERLING SECURITIES, INC.
January 27, 1984 - May 20, 1985
SMILEN INVESTMENT RESEARCH AND MANAGEMENT INCORPORATED
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
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
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