Lawrence E. Marcus
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 Elliot Marcus was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1985. Lawrence had worked at 8 firms and has passed the Series 63, Series 6, Series 31, 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
August 6, 2003 - December 19, 2003
VERAVEST INVESTMENTS, INC.
February 7, 2003 - August 13, 2003
KOVACK SECURITIES INC.
April 12, 2002 - February 3, 2003
PMK SECURITIES & RESEARCH, INC.
July 23, 1994 - August 22, 1994
WORLD INVEST CORPORATION
April 23, 1992 - June 24, 1992
AEGON USA SECURITIES INC.
September 1, 1988 - February 10, 1992
ADVEST, INC.
January 11, 1988 - September 14, 1988
UBS FINANCIAL SERVICES INC.
October 13, 1986 - January 14, 1988
E. F. HUTTON & COMPANY INC
September 24, 1985 - October 9, 1986
UBS FINANCIAL SERVICES 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
Current Firm
VERAVEST INVESTMENTS, INC.
CRD#: 3960 / SEC#: , 8-14716
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HANOVER INSURANCE GROUP | OWNER | |
| CRONIN, CHARLES FREDERICK | SECRETARY/CLERK | 4212484 |
| GAY, MARYANNE | CHIEF COMPLIANCE OFFICER | 3167171 |
| HUBER, J KENDALL | DIRECTOR | 2068417 |
| KIMBALL, SANDRA FLYNN | FINOP | 4805190 |
| MCGIVNEY, MARK CHRISTOPHER | DIRECTOR | 2788697 |
| SMITH, MARILYN T | DIRECTOR | 4662584 |
| TESTA, PAULA JEAN | PRESIDENT/CHIEF OPERATIONS OFFICER | 2554996 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
