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Lawrence M. Petri

WATERWAY CAPITAL LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 1336915
LP

Professional summary

Lawrence Michael Petri is a registered financial professional currently at WATERWAY CAPITAL LLC located in Boston, Massachusetts.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1985. Lawrence has worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Lawrence Michael Petri's CRS (Customer Relationship Summary).
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

December 18, 2014 - Present

WATERWAY CAPITAL LLC

Office #1: 699 Boylston St. Eighth Floor, Boston, MA 02116Office #2: 699 Boylston Street Eighth Floor, Boston, MA 02116
BD
CRD#: 128212
Boston, MA
Past

April 9, 2012 - May 20, 2013

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

April 12, 2010 - September 21, 2011

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

April 8, 2009 - March 11, 2010

ICP SECURITIES LLC

BD
CRD#: 133436
NEW YORK, NY
Past

April 9, 2003 - April 9, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

October 29, 1987 - April 16, 2003

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

October 29, 1987 - April 16, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 9, 1985 - December 16, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

January 23, 1985 - September 17, 1985

CITICORP SECURITIES, INC.

BD
CRD#: 7474

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(12/18/2014)
RR
New Jersey
(2/21/2025)
RR
New York
(1/22/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/31/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

WC
WATERWAY CAPITAL LLC
BOSTONIA GLOBAL SECURITIES, LLC | WATERWAY CAPITAL LLC

CRD#: 128212 / SEC#: , 8-66108

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Mailing Address
699 Boylston Street Eighth Floor, Boston, MA 02116
Phone number
(617) 226-8100
Established
Massachusetts since 04/25/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WATERWAY PARTNERS LLCOWNER
HOPKINS, THOMAS JOHNFINOP, POO, & PFO1835087
SARGENT, THOMAS ALLINGPRESIDENT/CEO1111329
WARD, ANA FORTESCCO3274959

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.

Company Information

WATERWAY CAPITAL LLC

CRD#: 128212Boston, MA 02116

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