Lawrence P. Westcott
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 Peter Westcott, who also goes by Peter Westcott, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1987. Lawrence had worked at 9 firms and has passed the Series 63, 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
December 9, 2010 - January 16, 2013
WOODSTOCK FINANCIAL GROUP, INC.
October 22, 2010 - January 16, 2013
WOODSTOCK FINANCIAL GROUP, INC.
March 16, 2009 - October 26, 2010
OSAIC FS, INC.
January 20, 2009 - October 26, 2010
OSAIC FS, INC.
October 23, 2002 - December 31, 2008
MUTUAL SERVICE CORPORATION
August 16, 2002 - December 31, 2008
MUTUAL SERVICE CORPORATION
June 4, 2002 - July 18, 2002
LEGEND ADVISORY, LLC
November 16, 2001 - July 18, 2002
LEGEND EQUITIES CORPORATION
May 24, 2001 - November 16, 2001
HIGH MARK SECURITIES, INC.
September 23, 1997 - May 22, 2001
MUTUAL SERVICE CORPORATION
December 22, 1995 - September 19, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
September 26, 1988 - December 31, 1989
VOYA FINANCIAL ADVISORS, INC.
January 7, 1987 - December 19, 1995
TRIPLE CHECK FINANCIAL SERVICES, INC.
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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
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