Lawrence A. Courtney
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 Arthur Courtney was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1984. Lawrence had worked at 6 firms and has passed the Series 63 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
March 10, 1995 - October 14, 1999
COBURN & MEREDITH, INC.
July 31, 1993 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
March 10, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
October 22, 1990 - March 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1988 - October 5, 1990
LEGG MASON WOOD WALKER, INCORPORATED
July 26, 1984 - July 20, 1988
MORGAN STANLEY DW 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
COBURN & MEREDITH, INC.
CRD#: 164 / SEC#: 801-69509, 8-2474
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DERWAY, ELIZABETH COBURN | CHIEF COMPLIANCE OFFICER, FINOP, SECRETARY,SHAREHOLDER | 1873991 |
Disclosures
| Regulatory Event | 11 |
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.
