LF
Laurence J. Finn
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CRD#: 1261659
LF
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 James Finn was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1984. Laurence had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1 INSURANCE SALES INCLUDING FIXED ANNUITIES AND FIXED INDEX ANNUITIES WITH MULTIPLE INSURANCE CARRIERS, INVESTMENT RELATED, APPROX 10 HOURS PER WEEK AND DURING TRADING
2. TRUSTEE ON MY DECEASED PARENTS TRUST, NOT INVESTMENT RELATED, APPROX 1 HOUR PER MONTH, 0 DURING TRADING
3.SKYLINE LEASING, RENTAL REAL ESTATE OWNER AND LANDLORD, NOT INVESTMENT RELATED, APPROX 4 HOURS PER MONTH, 0 DURING TRADING
4. DBA WEALTHTEAM 360 START DATE 1984
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®
NoneExperience
Past
August 11, 2023 - November 1, 2024
D.H. HILL ADVISORS, INC.
RIA
CRD#: 116324
Huntington Beach, CA
Past
July 19, 2006 - November 1, 2024
D.H. HILL SECURITIES, LLLP
BD
CRD#: 41528
Huntington Beach, CA
Past
October 26, 1998 - June 19, 2006
LPL FINANCIAL LLC
RIA
CRD#: 6413
TRABUCO CANYON, CA
Past
September 9, 1998 - June 19, 2006
LPL FINANCIAL LLC
BD
CRD#: 6413
TRABUCO CANYON, CA
Past
May 19, 1992 - September 9, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
September 12, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
July 31, 1984 - September 19, 1990
CROWELL, WEEDON & CO.
BD
CRD#: 193
LOS ANGELES, CA
Past
May 23, 1984 - July 30, 1984
CREST CAPITAL, INC.
BD
CRD#: 14484
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DH
D.H. HILL ADVISORS, INC.
D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT
CRD#: 116324 / SEC#: 801-115203
RIA
Registered Investment Advisory firm - (5/2/2019 Approved)Arizona
Registered Investment Advisory firm - (5/20/2019 Terminated)California
Registered Investment Advisory firm - (6/19/2019 Terminated)Colorado
Registered Investment Advisory firm - (5/29/2019 Terminated)Delaware
Registered Investment Advisory firm - (5/21/2019 Terminated)Florida
Registered Investment Advisory firm - (5/20/2019 Terminated)Georgia
Registered Investment Advisory firm - (5/31/2019 Terminated)Illinois
Registered Investment Advisory firm - (5/2/2019 Terminated)Iowa
Registered Investment Advisory firm - (5/21/2019 Terminated)Kansas
Registered Investment Advisory firm - (5/20/2019 Terminated)Kentucky
Registered Investment Advisory firm - (11/14/2011 Terminated)Louisiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (5/20/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/20/2019 Terminated)Missouri
Registered Investment Advisory firm - (5/20/2019 Terminated)Nebraska
Registered Investment Advisory firm - (5/28/2019 Terminated)New Mexico
Registered Investment Advisory firm - (5/20/2019 Terminated)New York
Registered Investment Advisory firm - (5/20/2019 Terminated)North Carolina
Registered Investment Advisory firm - (6/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/21/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/20/2019 Terminated)Rhode Island
Registered Investment Advisory firm - (5/20/2019 Terminated)South Carolina
Registered Investment Advisory firm - (5/20/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/22/2019 Terminated)Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/22/2019 Terminated)Washington
Registered Investment Advisory firm - (5/27/2019 Terminated)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
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
DH
D.H. HILL ADVISORS, INC.
D.H. HILL ADVISORS, INC. | FIRST FINANCIAL UNITED MANAGEMENT, INC. | DBA D.H. HILL WEALTH MANAGEMENT
CRD#: 116324 / SEC#: 801-115203
RIA
Registered Investment Advisory firm - (5/2/2019 Approved)Arizona
Registered Investment Advisory firm - (5/20/2019 Terminated)California
Registered Investment Advisory firm - (6/19/2019 Terminated)Colorado
Registered Investment Advisory firm - (5/29/2019 Terminated)Delaware
Registered Investment Advisory firm - (5/21/2019 Terminated)Florida
Registered Investment Advisory firm - (5/20/2019 Terminated)Georgia
Registered Investment Advisory firm - (5/31/2019 Terminated)Illinois
Registered Investment Advisory firm - (5/2/2019 Terminated)Iowa
Registered Investment Advisory firm - (5/21/2019 Terminated)Kansas
Registered Investment Advisory firm - (5/20/2019 Terminated)Kentucky
Registered Investment Advisory firm - (11/14/2011 Terminated)Louisiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (5/20/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/20/2019 Terminated)Missouri
Registered Investment Advisory firm - (5/20/2019 Terminated)Nebraska
Registered Investment Advisory firm - (5/28/2019 Terminated)New Mexico
Registered Investment Advisory firm - (5/20/2019 Terminated)New York
Registered Investment Advisory firm - (5/20/2019 Terminated)North Carolina
Registered Investment Advisory firm - (6/6/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/21/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/20/2019 Terminated)Rhode Island
Registered Investment Advisory firm - (5/20/2019 Terminated)South Carolina
Registered Investment Advisory firm - (5/20/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/22/2019 Terminated)Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)Virginia
Registered Investment Advisory firm - (5/22/2019 Terminated)Washington
Registered Investment Advisory firm - (5/27/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1543 Green Oak Place Suite 100, Kingwood, TX 77339
Mailing Address
1543 Green Oak Place Suite 100, Kingwood, TX 77339
Phone number
(832) 644-1852
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 953 |
| AUM (Assets Under Management) | $ 196,852,282 |
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.
