Lawrence C. Haynes
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 Charles Haynes, who also goes by Lawrence C Haynes, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1986. Lawrence had worked at 3 firms and has passed the Series 63, SIE, Series 55 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
March 23, 1994 - December 31, 1995
PXP SECURITIES CORP.
July 20, 1992 - January 2, 2018
WATERMARK SECURITIES, INC.
April 29, 1986 - May 1, 1986
DREXEL BURNHAM LAMBERT 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
Series 55
Date: 12/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
PXP SECURITIES CORP.
CRD#: 22898 / SEC#: , 8-40035
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PHOENIX INVESTMENT PARTNERS, LTD. | SHAREHOLDER | |
| BEERS, JOHN HENRY | VICE PRESIDENT AND SECRETARY | 3255701 |
| HAYLON, MICHAEL EDWARD | DIRECTOR | 1884528 |
| MARTIN, DAVID CAMBRIDGE | CHIEF COMPLIANCE OFFICER | 1466549 |
| SOKOLOSKY, CHESTER JOHN SAMUEL | FINANCIAL AND OPERATIONS PRINCIPAL | 2021913 |
| WALTMAN, FRANCIS GEORGE | PRESIDENT | 1778566 |
Disclosures
| Regulatory Event | 2 |
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.
