Lawrence H. Oshin
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 Harvey Oshin, who also goes by Larry Oshin, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2008 - March 22, 2022
SUSQUEHANNA FINANCIAL GROUP, LLLP
July 1, 2003 - March 24, 2008
WELLS FARGO SECURITIES, LLC
June 8, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 14, 1999 - April 7, 2000
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
May 30, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
July 12, 1996 - June 27, 1997
DB ALEX. BROWN LLC
July 7, 1994 - July 8, 1996
CREDIT SUISSE SECURITIES (USA) LLC
March 23, 1990 - July 20, 1994
GOLDMAN SACHS & CO. LLC
October 16, 1985 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
June 7, 1983 - July 22, 1985
LEHMAN BROTHERS INC.
May 25, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/28/2001
Limited Representative-Equity Trader ExamCurrent Firm
SUSQUEHANNA FINANCIAL GROUP, LLLP
CRD#: 35865 / SEC#: , 8-44325
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
Red Flags
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