Laurence E. Pierron
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.
Laurence Edward Pierron III, who also goes by Chip Pierron, Laurence E Pierron, Laurence Edward Pierron, Laurence Pierron, Lawrence Edward Pierron, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1986. Laurence had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 31 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
February 2, 2018 - December 31, 2025
SPC
January 25, 2018 - December 31, 2025
SIGMA FINANCIAL CORPORATION
January 6, 2011 - January 26, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2011 - January 26, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 2009 - February 3, 2011
HILLTOP SECURITIES INC.
January 5, 2009 - February 3, 2011
HILLTOP SECURITIES INC.
December 16, 2003 - January 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2003 - January 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2003 - December 17, 2003
SELECT ADVISORY SERVICES, LLC
February 14, 2002 - December 17, 2003
FISERV INVESTOR SERVICES, INC.
January 18, 1993 - December 17, 2003
TRADESTAR INVESTMENTS,INC.
January 20, 1992 - December 31, 1992
G. R. PHELPS & CO., INC.
March 20, 1986 - January 20, 1992
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 15
Date: 7/3/2007
Foreign Currency Options ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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