Lawrence M. Wasti
Professional summary
Lawrence Michael Wasti, who also goes by Lawrence Wasti, Mike Wasti, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Greenwood Village, Colorado.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1984. Lawrence has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Michael Wasti's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111February 1, 2018 - April 20, 2022
FFEC WEALTH PARTNERS LLC
November 23, 2009 - February 6, 2018
WADDELL & REED
March 20, 2009 - February 6, 2018
WADDELL & REED
August 12, 2006 - April 2, 2009
UBS FINANCIAL SERVICES INC.
February 14, 2000 - August 12, 2006
PIPER SANDLER & CO.
August 25, 1994 - September 4, 2001
U.S. BANCORP INVESTMENTS, INC.
October 15, 1992 - August 23, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 20, 1990 - October 9, 1992
MORGAN STANLEY DW INC.
April 26, 1990 - August 24, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
September 12, 1988 - April 17, 1990
GLOBAL CAPITAL SECURITIES CORPORATION
March 22, 1988 - September 14, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
August 3, 1987 - April 4, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
June 29, 1987 - July 21, 1987
HAMILTON BOHNER, INC.
October 16, 1985 - July 28, 1987
J. W. GANT & ASSOCIATES, INC.
December 21, 1984 - October 21, 1985
BLINDER, ROBINSON & CO., 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
(1/2/2025)
(4/20/2022)
(4/22/2022)
(4/20/2022)
(8/29/2022)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
