Lawrence B. Lappin
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 Bradford Lappin, who also goes by Lawrence B Lappin, 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 63, SIE, Series 16, Series 86, Series 87, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - December 2, 2014
PRIME EXECUTIONS, INC.
December 17, 2004 - November 1, 2011
PRIME EXECUTIONS, INC.
October 13, 2003 - November 10, 2004
FAGENSON & CO., INC.
October 10, 2003 - November 17, 2004
GILT-EDGED EQUITIES, LLC
January 4, 2002 - October 10, 2003
DEMATTEO RESEARCH LLC
February 4, 1997 - December 17, 2001
MICROVEST SECURITIES CORP.
September 24, 1986 - January 15, 1992
LAZARD FRERES & CO. 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
Series 55
Date: 10/6/1998
Limited Representative-Equity Trader ExamCurrent Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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