Lawrence S. York

PROACTIVE ADVISORS

Lexington, KY 40502

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CRD#: 1264745

Professional summary

Lawrence St John York, who also goes by Lawrence Stjohn York, is a registered financial advisor currently at PROACTIVE ADVISORS, LLC located in Lexington, Kentucky.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Lawrence has worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lawrence Stjohn York

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) - RIA

Click below to view Lawrence St John York's CRS (Customer Relationship Summary).

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

Current

September 21, 2012 - Present

PROACTIVE ADVISORS, LLC

Office #1: 836 Euclid Ave. Suite 306, Lexington, KY 40502

RIA

CRD#: 147332

Lexington, KY

Past

December 14, 2005 - June 30, 2008

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

LEXINGTON, KY

Past

January 11, 1999 - December 31, 2005

INTERACTIVE PLANNING CORP.

CRD#: 40261

LEXINGTON, KY

Past

September 14, 1998 - December 31, 1998

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

CLEVELAND, OH

Past

January 11, 1994 - September 22, 1998

R. H. YORK & COMPANY, INC.

CRD#: 30099

COVINGTON, KY

Past

January 1, 1989 - February 17, 1994

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

November 24, 1987 - December 20, 1988

J.C. BRADFORD & CO.

CRD#: 1287

Past

June 6, 1986 - December 15, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

June 4, 1984 - June 13, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Kentucky
(9/21/2012)

IAR

Texas
(12/28/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/28/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 4/10/1995

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/1989

General Securities Principal Examination

Current Firm

PROACTIVE ADVISORS, LLC

CRD#: 147332 / SEC#: 801-69233

RIA

Registered Investment Advisory firm - (10/12/2012 Terminated)

Kentucky

Registered Investment Advisory firm - (9/21/2012 Approved)

South Carolina

Registered Investment Advisory firm - (12/5/2013 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

836 Euclid Ave. Suite 306, Lexington, KY 40502

Mailing Address

Phone number

859-263-1117 X222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 46,375,951

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.

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Advisor Monitoring

Firm Stability Insights

Lawrence S. York

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence St John York's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES SERVICE NETWORK, LLC

INTERACTIVE PLANNING CORP.

AMERICA NORTHCOAST SECURITIES, INC.

R. H. YORK & COMPANY, INC.

LPL FINANCIAL LLC

J.C. BRADFORD & CO.

E. F. HUTTON & COMPANY INC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2012

Series 63

Date: 5/25/1984

Series 7

Date: 5/19/1984

Series 53

Date: 3/28/2003

Series 28

Date: 4/10/1995

Series 24

Date: 3/23/1989

Current Firm

PROACTIVE ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROACTIVE ADVISORS, LLC

TRUST BUT VERIFY

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