Lawrence W. Doyle

DIA LLC

GREENWICH, CT

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CRD#: 1197280

Professional summary

Lawrence William Doyle, who also goes by Larry Doyle, is a registered financial advisor currently at DIA LLC located in Greenwich, Connecticut.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Lawrence has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Doyle

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.

I PREVIOUSLY MAINTAINED A WEBSITE/BLOG, SENSE ON CENTS, AT WHICH I WROTE EXTENSIVELY ABOUT THE MARKETS AND ECONOMY. THIS SITE IS NOT A SOURCE OF REVENUE AND HAS BEEN INACTIVE SINCE LATE 2014. MY PARTNER IN DM INCOME ADVISORS (JOHN MOYNIHAN) AND I ALSO HAVE A SEPARATE BUSINESS, FBH LLC, WHICH IS ENGAGED IN INVESTIGATIVE PROJECTS/PURSUITS ON A MICRO, MACRO, DOMESTIC, AND INTERNATIONAL LEVEL. WE WORK BOTH ON BEHALF OF CLIENTS AND AS PRINCIPALS DEPENDING ON THE NATURE OF THE PROJECT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence William Doyle'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®

None

Experience

Current

November 26, 2012 - Present

DIA LLC

RIA

CRD#: 165619

GREENWICH, CT

Past

January 29, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

March 30, 2000 - February 8, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

August 18, 1998 - April 13, 2000

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

January 8, 1997 - July 14, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

February 20, 1990 - December 13, 1996

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 23, 1984 - February 1, 1990

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/26/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/16/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/30/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/1997

General Securities Principal Examination

Current Firm

DIA LLC

DIA LLC | DM INCOME ADVISORS LLC | DM INCOME ADVISORS

CRD#: 165619 / SEC#:

Connecticut

Registered Investment Advisory firm - (11/26/2012 Approved)

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Contact information

Main Address

Greenwich, CT

Mailing Address

Phone number

(203) 233-8715

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Lawrence W. Doyle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence William Doyle's CRS (Customer Relationship Summary).

Certified licenses

Experience

JPMSI

J.P. MORGAN SECURITIES INC.

BANC OF AMERICA SECURITIES LLC

UBS SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2012

Series 63

Date: 6/27/1990

Series 7

Date: 9/15/1984

Series 10

Date: 10/16/2001

Series 9

Date: 8/30/2001

Series 24

Date: 7/1/1997

Current Firm

DIA LLC

Contact information

Documents

Red Flags

Company Information

DIA LLC

TRUST BUT VERIFY

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