LS
Lawrence R. Spinosa
SPINOSA WEALTH MANAGEMENT GROUP
MANDEVILLE, LA 70471
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CRD#: 1453282
LS
Professional summary
Lawrence Randall Spinosa, CFP®, who also goes by Lawrence R Spinosa, Randy Spinosa, is a registered financial advisor currently at SPINOSA WEALTH MANAGEMENT GROUP located in Mandeville, Louisiana and LPL FINANCIAL LLC located in Mandeville, Louisiana.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Lawrence has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Retirement Income Management
Estate Planning
Business Succession Planning
Comprehensive Financial Planni...
Investment Planning
Tax Planning
Insurance Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Lawrence R Spinosa | Randy Spinosa
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.
1. 10/10/2003 - NON-VARIABLE INSURANCE - INSURANCE - INVESTMENT RELATED - MANDEVILLE, LA.
2. 6/24/2009 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - SPINOSA WEALTH MANAGEMENT GROUP - INVESTMENT RELATED - MANDEVILLE, LA.
3. 12/8/2014: REGISTERED INVESTMENT ADVISOR HYBRID - SPINOSA WEALTH MANAGEMENT GROUP, LLC - DBA: SPINOSA WEALTH MANAGEMENT GROUP - INVESTMENT RELATED - 120 HOURS PER MONTH DURING TRADING - MANDEVILLE, LA.
4. 2/10/2017 - Spinosa & Associates - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 01/01/1982 - 20 Hours Per Month/1 Hours Per Month During Securities Trading - CPA practice and used for tax purposes only for revenue other than advisory.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Randall Spinosa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2004
Experience
Current
September 23, 2014 - Present
SPINOSA WEALTH MANAGEMENT GROUP
Office #1: 4565 Lasalle Street Suite 201, Mandeville, LA 70471RIA
CRD#: 170903
MANDEVILLE, LA
Current
September 26, 2000 - Present
LPL FINANCIAL LLC
Office #1: 4565 Lasalle Street Suite 201, Mandeville, LA 70471RIA
BD
CRD#: 6413
MANDEVILLE, LA
Past
May 7, 2003 - March 22, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 22, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 22, 1991 - October 16, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
May 25, 1988 - April 26, 1991
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
May 9, 1986 - December 14, 1987
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SPINOSA WEALTH MANAGEMENT GROUP
SPINOSA & ASSOCIATES, INC. | SPINOSA, RANDY | SPINOSA WEALTH MANAGEMENT GROUP, LLC | SPINOSA WEALTH MANAGEMENT GROUP
CRD#: 170903 / SEC#: 801-120889
RIA
Registered Investment Advisory firm - (4/23/2021 Approved)Florida
Registered Investment Advisory firm - (4/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2021 Terminated)Texas
Registered Investment Advisory firm - (4/26/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/10/2020)
RR
California(3/10/2025)
RR
Colorado(7/7/2009)
RR
Florida(9/26/2000)
IAR
Florida(10/2/2014)
RR
Georgia(6/25/2001)
RR
Idaho(6/17/2016)
RR
Indiana(11/4/2025)
RR
Kentucky(4/19/2002)
RR
Louisiana(9/26/2000)
IAR
Louisiana(9/23/2014)
RR
Maryland(6/4/2021)
RR
Mississippi(9/19/2003)
RR
New Jersey(4/1/2013)
RR
New York(2/14/2001)
RR
Texas(9/26/2000)
IAR
Texas(2/25/2016)
RR
Utah(7/10/2006)
RR
Washington(5/4/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SPINOSA WEALTH MANAGEMENT GROUP
SPINOSA & ASSOCIATES, INC. | SPINOSA, RANDY | SPINOSA WEALTH MANAGEMENT GROUP, LLC | SPINOSA WEALTH MANAGEMENT GROUP
CRD#: 170903 / SEC#: 801-120889
RIA
Registered Investment Advisory firm - (4/23/2021 Approved)Florida
Registered Investment Advisory firm - (4/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2021 Terminated)Texas
Registered Investment Advisory firm - (4/26/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4565 Lasalle Street Suite 201, Mandeville, LA 70471
Mailing Address
Phone number
(985) 674-6722
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 319 |
| AUM (Assets Under Management) | $ 155,061,629 |
Red Flags
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Company Information
SPINOSA WEALTH MANAGEMENT GROUP
CRD#: 170903Mandeville, LA 70471TRUST BUT VERIFY
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Contact information
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