Steve L. Lawrence
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.
Steve Lloyd Lawrence was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1986. Steve had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2012 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
April 2, 2012 - December 31, 2014
RAYMOND JAMES & ASSOCIATES, INC.
January 6, 1999 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
February 2, 1998 - February 2, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 11, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
October 3, 1995 - July 23, 1997
J.C. BRADFORD & CO.
January 1, 1991 - January 30, 1991
FIRST FUNDS, INC.
March 3, 1986 - September 20, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, 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 8
Date: 5/1/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
