Laurence M. Braunstein
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.
Laurence Michael Braunstein was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1984. Laurence had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
October 31, 2019 - May 21, 2024
PARADIGM WEALTH ADVISORY LLC
May 13, 2015 - September 16, 2019
JANNEY MONTGOMERY SCOTT LLC
May 13, 2015 - September 16, 2019
JANNEY MONTGOMERY SCOTT LLC
September 9, 2010 - June 11, 2015
MORGAN STANLEY
July 19, 2010 - August 17, 2010
MORGAN STANLEY
July 19, 2010 - June 11, 2015
MORGAN STANLEY
June 24, 2008 - July 20, 2010
LMB WEALTH AND RETIREMENT STRATEGIES, INC
March 11, 2004 - July 21, 2010
FIRST ALLIED SECURITIES, INC.
November 26, 2003 - July 21, 2010
FIRST ALLIED SECURITIES, INC.
August 1, 2003 - December 11, 2003
WALNUT STREET SECURITIES, INC.
February 12, 1993 - August 8, 2003
NATHAN & LEWIS SECURITIES, INC.
August 3, 1984 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
February 21, 1984 - October 15, 1984
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
PARADIGM WEALTH ADVISORY LLC
CRD#: 283120 / SEC#: 801-107403
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
PARADIGM WEALTH ADVISORY LLC
CRD#: 283120 / SEC#: 801-107403
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,521 |
| AUM (Assets Under Management) | $ 468,284,162 |
Red Flags
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