Lawrence M. Gottlieb
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 Michael Gottlieb, who also goes by Lawrence Michael Gohlieb, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 8 firms and has passed the Series 63, Series 3, Series 6, Series 7, Series 22 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1993 - September 1, 1993
MARINER FINANCIAL SERVICES, INC.
February 9, 1993 - May 5, 1993
THE VARIABLE ANNUITY MARKETING COMPANY
July 31, 1992 - February 19, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 16, 1989 - June 27, 1990
MORGAN STANLEY DW INC.
February 27, 1989 - May 4, 1989
THOMSON MCKINNON SECURITIES INC.
May 29, 1987 - March 16, 1989
LEHMAN BROTHERS INC.
July 16, 1984 - June 12, 1987
E. F. HUTTON & COMPANY INC
July 5, 1983 - August 13, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 8
Date: 12/12/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MARINER FINANCIAL SERVICES, INC.
CRD#: 8292 / SEC#: , 8-25216
Contact information
Documents
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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