Lawrence B. Sarafinas
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 Benedict Sarafinas, who also goes by Larry Benedict Sarafinas, 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 15, Series 5, Series 3 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
May 4, 2004 - August 13, 2004
METROPOLITAN LIFE INSURANCE COMPANY
May 4, 2004 - August 13, 2004
MSI FINANCIAL SERVICES, INC.
December 19, 2002 - October 2, 2003
CITICORP INVESTMENT SERVICES
November 25, 2002 - December 6, 2002
QUICK & REILLY, INC.
September 25, 2000 - December 6, 2002
QUICK & REILLY, INC.
May 18, 2000 - November 3, 2000
FLEET ENTERPRISES, INC.
June 10, 1993 - September 25, 2000
FIS SECURITIES, INC.
January 27, 1992 - June 1, 1993
VERAVEST INVESTMENTS, INC.
August 20, 1990 - January 15, 1992
LEGG MASON WOOD WALKER, INCORPORATED
September 15, 1989 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 21, 1989 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
October 9, 1987 - June 16, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 24, 1985 - November 17, 1986
FIRST JERSEY SECURITIES, 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 15
Date: 9/22/1987
Foreign Currency Options ExaminationSeries 5
Date: 9/22/1987
Interest Rate Options ExaminationCurrent Firm
METROPOLITAN LIFE INSURANCE COMPANY
CRD#: 4095 / SEC#: , 8-14901
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | 100% SHAREHOLDER | |
| BARNETTE, CURTIS HANDLEY | DIRECTOR | |
| DOLE, BURTON A | DIRECTOR | |
| GRISE, CHERYL | DIRECTOR | |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER & ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HENRIKSON, CARL ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT & CHAIRMAN OF THE BOARD | 243239 |
| HOLTZER, DAVID MICHAEL | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 4345697 |
| HOUGHTON, JAMES RICHARDSON | DIRECTOR | |
| JOURNY, TIMOTHY LYONS | SENIOR VICE PRESIDENT AND GENERAL AUDITOR | |
| KAMEN, HARRY PAUL | DIRECTOR | 1545937 |
| KANDARIAN, STEVEN ALBERT | EXECUTIVE VICE PRESIDENT & CIO | |
| KAPLAN, HELENE L | DIRECTOR | |
| KEANE, JOHN M. | DIRECTOR | |
| KILTS, JAMES | DIRECTOR | |
| LEIGHTON, CHARLES | DIRECTOR | |
| LIPSCOMB, JAMES LOUIS | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | |
| MATHEWS, SYLVIA | DIRECTOR | |
| MULLANEY, WILLIAM JOSEPH | PRESIDENT, INSTITUTIONAL BUSINESS | 2641484 |
| PRICE, HUGH BERNARD | DIRECTOR | |
| REIN, CATHERINE AMELIA | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2605134 |
| SICCHITANO, KENTON JOSEPH | DIRECTOR | |
| STEERE, WILLIAM CAMPBELL | DIRECTOR | |
| TOPPETA, WILLIAM JOHN | PRESIDENT, INTERNATIONAL | 2835140 |
| VIETRI, MICHAEL JOSEPH | EXECUTIVE VICE PRESIDENT | 1068983 |
| WEBER, LISA M | PRESIDENT, INDIVIDUAL BUSINESS | |
| WHEELER, WILLIAM JAMES | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 1208521 |
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
