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Lawrence St John York

PROACTIVE ADVISORS
Lexington, KY
·CRD# 1264745·42 years experience

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.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Lawrence Stjohn York

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

PROACTIVE ADVISORS, LLC·CRD# 147332
RIA
836 Euclid Ave. Suite 306, Lexington, KY 40502
September 21, 2012 - Present
SECURITIES SERVICE NETWORK, LLC·CRD# 13318
BD
Lexington, KY
December 14, 2005 - June 30, 2008
INTERACTIVE PLANNING CORP.·CRD# 40261
BD
Lexington, KY
January 11, 1999 - December 31, 2005
AMERICA NORTHCOAST SECURITIES, INC.·CRD# 16076
BD
Cleveland, OH
September 14, 1998 - December 31, 1998
R. H. YORK & COMPANY, INC.·CRD# 30099
BD
Covington, KY
January 11, 1994 - September 22, 1998
LPL FINANCIAL LLC·CRD# 6413
BD
Fort Mill, SC
January 1, 1989 - February 17, 1994
J.C. BRADFORD & CO.·CRD# 1287
BD
November 24, 1987 - December 20, 1988
E. F. HUTTON & COMPANY INC·CRD# 235
BD
June 6, 1986 - December 15, 1987
MORGAN STANLEY DW INC.·CRD# 7556
BD
June 4, 1984 - June 13, 1986

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Current Firm

PA
PROACTIVE ADVISORS, LLC

PROACTIVE ADVISORS, LLC

CRD#: 147332 / SEC#: 801-69233
RIA
Registered Investment Advisory firm - SEC (10/12/2012 Terminated)
Kentucky
Registered Investment Advisory firm - Kentucky (9/21/2012 Approved)
South Carolina
Registered Investment Advisory firm - South Carolina (12/5/2013 Terminated)
Texas
Registered Investment Advisory firm - Texas (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).

Contact Information

Main Address

836 Euclid Ave. Suite 306, Lexington, KY 40502

Phone Number

859-263-1117 X222

# of Employees

4

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

68

AUM (Assets Under Management)

$56,800,715

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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.

Other business activities: Lawrence York has equity interest in six limited liability companies two of which are investment related. All but one of the companies own real estate. Mr. York's ownership in these companies is the percentage amount shown in parenthesis. The following is a list of Lawrence York's outside business interest: ProActive Partners, LLC, a company wholly owned by Lawrence York, was formed in September 2015 to provide business consulting and financial management services to Mr. York's closely held private company investments. ProActive Partners owns a commercial office suite located on Shaker Drive, Lexington, KY. ProActive Partners provides services to four affiliated limited liability companies in which Mr. York is an owner/partner including: 7168 Falcons Glen, LLC (50%) which owns a real estate property in Naples FL purchased April 2018 with a realtor partner; AM Partners, LLC (50%) formed in March 2013 by Mr. York to be a leasing company for a KY based manufacturing company. It owns a residential real estate property in Lexington, KY; Equity Income Group, LLC (50%) company formed in April 2015 that owns a commercial office suite with a physician partner in Lexington, KY. The administrative office addresses of these companies are at 836 Euclid Ave., Suite 306 Lexington KY 40502. Mr. York restricts his managerial and administrative duties provided to these companies to times before and after market trading hours and weekends as necessary. The time involved in these duties averages approximately 2 hours per month for each LLC as leasing services are outsourced. Mr. York additionally owns an equity interest in two investment-related limited liability companies: the first, Resurrection Treatment Clinics, LLC, (27%) a substance abuse treatment clinic was formed in September 2015. Resurrection is a Lexington, KY based business and is managed by a physician partner. Mr. York and ProActive Partners do not receive compensation and no longer provide business management services to Resurrection. Mr. York now only reviews the banking statements and stays abreast of how the clinic is performing which is all done after market hours. The second investment-related limited liability company is 2101, LLC, (4%) a company formed in October 2014 to purchase 67 acres of land in Versailles, KY that was entering foreclosure. ProActive Advisors has been engaged to provide limited management services to the company to assist with rezoning of the property and to oversee financial matters including tax filings for which the firm is compensated.

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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.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2012About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1984About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Mar 2003About the Series 53 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Apr 1995About the Series 28 exam

Series 24 — General Securities Principal Examination

Passed Mar 1989About the Series 24 exam

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CRS (Client Relationship Summary) - RIA

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

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