Lawrence R. Fichter
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 Robert Fichter, who also goes by Larry Fichter, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1997. Lawrence had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2017 - September 20, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 3, 2017 - September 20, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 10, 2006 - October 5, 2017
NATIONAL PLANNING CORPORATION
January 3, 2006 - October 5, 2017
NATIONAL PLANNING CORPORATION
September 8, 2003 - January 5, 2006
OSAIC FS, INC.
September 8, 2003 - January 5, 2006
OSAIC FS, INC.
February 11, 2003 - October 8, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 23, 2000 - October 8, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 28, 1997 - February 25, 2000
OSAIC FS, INC.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
