Alan H. Lawrence
Professional summary
Alan Hugh Lawrence is a registered financial advisor currently at LAWRENCE, ALAN located in Dallas, Texas.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Alan has worked at 4 firms and has passed the Series 63, SIE, Series 15, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alan Hugh Lawrence's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2023 - Present
LAWRENCE, ALAN
November 10, 2020 - December 31, 2022
LAWRENCE, ALAN
September 14, 1995 - December 29, 1995
T.L. SMITH SECURITIES
March 25, 1991 - December 31, 2020
FIRST RESEARCH FINANCIAL
July 23, 1990 - May 22, 1991
T.L. SMITH SECURITIES
January 22, 1986 - April 3, 1990
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/19/2023)
Exams
Series 15
Date: 5/12/1988
Foreign Currency Options ExaminationCurrent Firm
LAWRENCE, ALAN
CRD#: 311160 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 40 |
| AUM (Assets Under Management) | $ 26,291,388 |
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.
