Lawrence I. Weinman

Some features on this profile are disabled

CRD#: 1495844

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 Ira Weinman, who also goes by Larry Weinman, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1986. Lawrence had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Weinman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 18, 2021 - October 23, 2023

INVESTMENT ADVISOR GROUP

RIA

CRD#: 312448

LOS ANGELES, CA

Past

December 7, 2006 - February 26, 2021

KEELER & CO., LLC

RIA

CRD#: 125185

ATLANTA, GA

Past

October 23, 2006 - December 7, 2006

SUMMIT PORTFOLIO MANAGEMENT LLC

RIA

CRD#: 111243

LOS ANGELES, CA

Past

September 9, 1997 - July 20, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 9, 1997 - July 20, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 25, 1986 - February 6, 1987

MORGAN STANLEY & CO. LLC

CRD#: 8209

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".

INVESTMENT ADVISOR GROUP

CRD#: 312448 / SEC#: 801-120292

RIA

Registered Investment Advisory firm - (2/8/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/20/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/1997

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/24/1996

National Commodity Futures Examination

Principal/Supervisory Exam

Series 4

Date: 10/23/1986

Registered Options Principal Examination

Current Firm

INVESTMENT ADVISOR GROUP

CRD#: 312448 / SEC#: 801-120292

RIA

Registered Investment Advisory firm - (2/8/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Hancock, NY

Mailing Address

Po Box 568, Hancock, NY 13783

Phone number

(607) 930-4338

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FROM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	259
AUM (Assets Under Management)	$ 72,280,174

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lawrence I. Weinman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEELER & CO., LLC

SUMMIT PORTFOLIO MANAGEMENT LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

INVESTMENT ADVISOR GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2006

Series 63

Date: 9/10/1997

Series 7

Date: 9/8/1997

Series 3

Date: 9/24/1996

Series 4

Date: 10/23/1986

Current Firm

INVESTMENT ADVISOR GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT ADVISOR GROUP

TRUST BUT VERIFY

Similar Advisors