John F. 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.
John Franklin Lawrence was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 11 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2013 - March 21, 2017
PROFORZA ADVISORS LLC
June 1, 2009 - September 17, 2013
MORGAN STANLEY
June 1, 2009 - September 17, 2013
MORGAN STANLEY
December 24, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 12, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 18, 2008 - December 24, 2008
UBS FINANCIAL SERVICES INC.
July 8, 2008 - December 24, 2008
UBS FINANCIAL SERVICES INC.
February 11, 2003 - July 11, 2008
EMPIRE FINANCIAL GROUP, INC.
October 2, 1998 - March 19, 2003
WILDER RICHMAN SECURITIES CORPORATION
October 13, 1995 - December 9, 1997
THE HIGHLAND CAPITAL GROUP, INC.
April 13, 1992 - August 29, 1995
FEELEY & WILLCOX SECURITIES CORP.
January 31, 1991 - February 26, 1992
THE ADVISORS GROUP, INC.
September 5, 1989 - December 31, 1990
CAPITOL SECURITIES MANAGEMENT, INC.
January 21, 1986 - June 6, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PROFORZA ADVISORS LLC
CRD#: 162584 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 8,400,000 |
Red Flags
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