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JL

John Franklin Lawrence

CRD# 1447035·Registered 1986 - 2017
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Franklin Lawrence was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1986 - 2017. John had worked at 11 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

PROFORZA ADVISORS LLC·CRD# 162584
RIA
Herndon, VA
September 13, 2013 - March 21, 2017
MORGAN STANLEY·CRD# 149777
RIA
Bethesda, MD
June 1, 2009 - September 17, 2013
MORGAN STANLEY·CRD# 149777
BD
Bethesda, MD
June 1, 2009 - September 17, 2013
MORGAN STANLEY & CO. LLC·CRD# 8209
RIA
Bethesda, MD
December 24, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
Bethesda, MD
December 12, 2008 - June 1, 2009
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Washington, DC
August 18, 2008 - December 24, 2008
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Washington, DC
July 8, 2008 - December 24, 2008
EMPIRE FINANCIAL GROUP, INC.·CRD# 28759
BD
Arnold, MD
February 11, 2003 - July 11, 2008
WILDER RICHMAN SECURITIES CORPORATION·CRD# 17681
BD
Greenwich, CT
October 2, 1998 - March 19, 2003
THE HIGHLAND CAPITAL GROUP, INC.·CRD# 34795
BD
New York, NY
October 13, 1995 - December 9, 1997
FEELEY & WILLCOX SECURITIES CORP.·CRD# 7614
BD
New York, NY
April 13, 1992 - August 29, 1995
THE ADVISORS GROUP, INC.·CRD# 14035
BD
Bethesda, MD
January 31, 1991 - February 26, 1992
CAPITOL SECURITIES MANAGEMENT, INC.·CRD# 14169
BD
Glen Allen, VA
September 5, 1989 - December 31, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
January 21, 1986 - June 6, 1989

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Current Firm

PA
PROFORZA ADVISORS LLC

FORZATEK CORPORATION | PROFORZA ADVISORS LLC

CRD#: 162584
District of Columbia
Registered Investment Advisory firm - District of Columbia (12/13/2012 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (4/6/2018 Terminated)
Virginia
Registered Investment Advisory firm - Virginia (6/5/2012 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

Herndon, VA

Phone Number

(703) 861-8295

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

25

AUM (Assets Under Management)

$9,500,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2008About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1986About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Mar 2009About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jan 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2004About the Series 24 exam

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CRS (Client Relationship Summary)

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

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