Lawrence A. Klatzkin
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 Klatzkin, who also goes by Laurence Alan Klatzkin, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1986. Lawrence had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86, Series 16 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
February 1, 2013 - July 16, 2024
RICE, VOELKER, LLC
July 14, 2009 - February 17, 2011
CHAPDELAINE TULLETT PREBON, LLC
March 29, 2007 - June 15, 2007
JEFFERIES HIGH YIELD TRADING, LLC
August 20, 1998 - May 1, 2009
JEFFERIES LLC
June 1, 1995 - August 20, 1998
PERSHING LLC
January 22, 1992 - June 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 8, 1991 - November 19, 1991
LAZARD FRERES & CO. LLC
April 23, 1986 - March 1, 1990
SALOMON BROTHERS 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RICE, VOELKER, LLC
CRD#: 39838 / SEC#: , 8-48854
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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