Lawrence J. Thaul

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CRD#: 1225678

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 Jay Thaul was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1984. Lawrence had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 11, 2017 - December 14, 2017

AURORA CAPITAL LLC

CRD#: 37924

BRIDGEHAMPTON,, NY

Past

July 24, 2007 - December 24, 2014

AURORA CAPITAL LLC

CRD#: 37924

BRIDGEHAMPTON,, NY

Past

February 23, 2005 - July 29, 2005

WORTHMARK FINANCIAL SERVICES, LLC

CRD#: 47086

ST. PAUL, MN

Past

July 15, 2003 - September 23, 2003

AMERIPROP, INC.

CRD#: 24305

MELVILLE, NY

Past

June 23, 1998 - February 25, 2003

THE THOMPSON GROUP, INC.

CRD#: 21812

WHITE PLAINS, NY

Past

September 30, 1997 - May 8, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 6, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

July 6, 1990 - May 15, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 30, 1984 - June 20, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 30, 1984 - June 20, 1990

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 3, 1984 - March 30, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2007

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/11/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/2/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AURORA CAPITAL LLC

AURORA CAPITAL CORP. | AURORA CAPITAL LLC

CRD#: 37924 / SEC#: , 8-48069

Terminated by SEC on 07/04/2021

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 09/15/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AURORA CAPITAL CORP.	MANAGING MEMBER
JAVITS, ERIC M	INDIVIDUAL OWNER	6721703
T MORGEN CAPITAL LLC	MEMBER
MARGOLIS, JEFF ELIOT	PRES OF AURORA CAPITAL CORP., MANAGING MEMBER, PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, CFO, CHIEF ADMIN, EXEC REP TO FINRA	1131553

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Lawrence J. Thaul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AURORA CAPITAL LLC

WORTHMARK FINANCIAL SERVICES, LLC

AMERIPROP, INC.

THE THOMPSON GROUP, INC.

WS GRIFFITH SECURITIES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/1984

SIE

Date: 12/14/2017

Series 7

Date: 10/9/2007

Series 22

Date: 2/11/1985

Series 6

Date: 2/2/1984

Current Firm

AURORA CAPITAL LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AURORA CAPITAL LLC

TRUST BUT VERIFY

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