Lawrence A. Weigum
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 Arthur Weigum II, who also goes by Larry Weigum II, Larry Weigum Jr, Larry Weigum, Lawrence Arthur Weigum Jr, Lawrence Arthur Weigum, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1986. Lawrence had worked at 8 firms and has passed the Series 66, Series 63, SIE 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
August 9, 2007 - April 7, 2015
TD AMERITRADE, INC.
August 9, 2007 - April 7, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 22, 2006 - April 7, 2015
TD AMERITRADE, INC.
August 29, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
September 23, 1991 - September 12, 2002
EDWARD JONES
June 1, 1987 - December 5, 1990
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 17, 1986 - May 13, 1987
B.C. CHRISTOPHER SECURITIES CO.
May 22, 1986 - July 8, 1986
FIRST JERSEY SECURITIES, INC.
May 22, 1986 - October 14, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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