Lawrence C. Holaly
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 Corey Holaly was a registered financial advisor .
Lawrence is a previously registered financial advisor and started their career in finance in 1985. Lawrence had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
February 22, 2008 - November 25, 2009
SIGMA FINANCIAL CORPORATION
February 22, 2008 - November 25, 2009
PARKLAND SECURITIES, LLC
February 28, 2006 - December 31, 2006
QUESTAR CAPITAL CORPORATION
January 10, 2005 - March 10, 2005
TCF INVESTMENTS, INC.
September 16, 2003 - October 27, 2004
VALIC FINANCIAL ADVISORS, INC.
September 12, 2003 - October 27, 2004
VALIC FINANCIAL ADVISORS, INC.
September 22, 2000 - August 16, 2002
OSAIC WEALTH, INC.
March 22, 1999 - September 6, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 21, 1996 - October 13, 1997
NATIONWIDE SECURITIES, LLC
November 22, 1993 - December 21, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1987 - November 8, 1989
RONEY & CO. L.L.C.
March 12, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
March 12, 1985 - June 15, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 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.
