Lawrence A. Cook
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 Alan Cook was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1983. Lawrence had worked at 6 firms and has passed the Series 63, SIE, 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
January 24, 2013 - October 3, 2016
UBS ASSET MANAGEMENT (US) INC.
November 1, 2004 - May 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2003 - May 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 1990 - November 25, 2002
MORGAN STANLEY & CO. LLC
August 5, 1986 - August 29, 1990
MONTGOMERY SECURITIES
July 10, 1985 - September 12, 1986
J.P. MORGAN SECURITIES LLC
December 23, 1983 - May 31, 1984
BECKER PARIBAS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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