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LF

Larry S. Forrest

Some features on this profile are disabled
CRD#: 1409360
LF

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.

Larry Stephen Forrest was a registered financial professional .

Larry is a previously registered financial professional and started their career in finance in 1985. Larry had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 24, Series 4 and Series 27 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 4, 2003 - February 3, 2023

SMITH POINT CAPITAL LTD

BD
CRD#: 46042
Chapel Hill, NC
Past

April 27, 2001 - November 11, 2003

LEXIT CAPITAL, LLC

BD
CRD#: 34048
HOBOKEN, NJ
Past

September 28, 2000 - June 5, 2001

ATON SECURITIES, INC.

BD
CRD#: 100841
NEW YORK, NY
Past

January 28, 1998 - May 4, 2000

WIT CAPITAL CORPORATION

BD
CRD#: 41499
OLD GREENWICH, CT
Past

April 26, 1996 - March 24, 1997

BROWNCO, LLC

BD
CRD#: 1326
BOSTON, MA
Past

March 12, 1996 - March 15, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

November 19, 1985 - October 25, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/25/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/11/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/21/1996
Financial and Operations Principal Examination

Current Firm

SP
SMITH POINT CAPITAL LTD
CONVEXITY PARTNERS, L.P. | SMITH POINT CAPITAL PARTNERS, L.P. | SMITH POINT CAPITAL LTD

CRD#: 46042 / SEC#: , 8-51300

BD
Terminated by SEC on 02/03/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 02/21/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HAMPSHIRE GROUP, INCOWNER
FORREST, LARRY STEPHENCEO, CFO, CCO1409360

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

SMITH POINT CAPITAL LTD

CRD#: 46042

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