Lawrence M. Dan

KENNICOTT CAPITAL MANAGEMENT LLC

Larkspur, CA

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CRD#: 1504996

Professional summary

Lawrence Michael Dan, who also goes by Larry Dan, is a registered financial advisor currently at KENNICOTT CAPITAL MANAGEMENT LLC located in Larkspur, California.

Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Lawrence has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Dan

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) - RIA

Click below to view Lawrence Michael Dan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2004 - Present

KENNICOTT CAPITAL MANAGEMENT LLC

RIA

CRD#: 128947

Larkspur, CA

Past

November 24, 1987 - April 4, 1995

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 17, 1987 - November 23, 1987

GOLDMAN SACHS MONEY MARKETS INC.

CRD#: 13821

Past

September 24, 1986 - June 12, 1987

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

KENNICOTT CAPITAL MANAGEMENT LLC

CRD#: 128947 / SEC#: 801-121008

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

California

Registered Investment Advisory firm - (7/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(1/2/2004)

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: 11/13/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/10/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

KENNICOTT CAPITAL MANAGEMENT LLC

CRD#: 128947 / SEC#: 801-121008

RIA

Registered Investment Advisory firm - (5/4/2021 Approved)

California

Registered Investment Advisory firm - (7/8/2021 Terminated)

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Contact information

Main Address

Larkspur, CA

Mailing Address

Phone number

(888) 882-2721

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KENNICOTT CAPITAL MANAGEMENT BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	212
AUM (Assets Under Management)	$ 323,682,253

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.

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Firm Stability Insights

Lawrence M. Dan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Michael Dan's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS MONEY MARKETS INC.

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

KENNICOTT CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2003

Series 63

Date: 5/8/1987

Series 3

Date: 10/10/1986

Series 7

Date: 9/20/1986

Current Firm

KENNICOTT CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KENNICOTT CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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