Larry K. Mccormick
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.
Larry Keith Mccormick, who also goes by Larry K Mccormick, Mac Mccormick, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1984. Larry had worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 62, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2005 - September 25, 2023
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
July 7, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
December 15, 1995 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
July 18, 1991 - December 15, 1995
SERVICE ASSET MANAGEMENT COMPANY
February 18, 1987 - April 23, 1990
PRINCIPAL FINANCIAL SECURITIES,INC.
October 25, 1984 - March 2, 1987
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCurrent Firm
SAMCO CAPITAL MARKETS, INC.
CRD#: 136532 / SEC#: , 8-67023
Contact information
FINRA licenses (52 States and Territories)
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.
