LS
Laurence J. Smith
HARRIS WILLIAMS
New York, NY 10022
Some features on this profile are disabled
CRD#: 1568853
LS
Professional summary
Laurence Joseph Smith, who also goes by Larry Smith, is a registered financial professional currently at HARRIS WILLIAMS located in New York, New York.
Laurence is registered as a RR (Registered Representative) and started their career in finance in 1996. Laurence has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 17, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Larry Smith
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.
CRS (Client Relationship Summary) - BD
Click below to view Laurence Joseph Smith's 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®
NoneExperience
Current
April 27, 2023 - Present
HARRIS WILLIAMS
Office #1: 600 Lexington Ave. 11th Floor, New York, NY 10022BD
CRD#: 113930
New York, NY
Past
August 8, 2008 - August 4, 2023
SIXPOINT PARTNERS LLC
BD
CRD#: 146067
NEW YORK, NY
Past
July 12, 2001 - March 3, 2003
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
Past
June 10, 1999 - June 19, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
February 13, 1996 - June 11, 1999
CAL FP (US), INC.
BD
CRD#: 37412
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/16/2023)
RR
Arizona(8/17/2023)
RR
Arkansas(9/25/2023)
RR
California(8/1/2023)
RR
Colorado(8/9/2023)
RR
Connecticut(8/24/2023)
RR
Delaware(8/7/2023)
RR
District of Columbia(8/1/2023)
RR
Georgia(8/7/2023)
RR
Idaho(8/1/2023)
RR
Illinois(9/22/2023)
RR
Indiana(9/28/2023)
RR
Iowa(8/1/2023)
RR
Kansas(8/1/2023)
RR
Kentucky(8/1/2023)
RR
Louisiana(8/1/2023)
RR
Maryland(8/14/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(8/15/2023)
RR
Minnesota(8/1/2023)
RR
Mississippi(8/1/2023)
RR
Montana(8/1/2023)
RR
Nevada(8/15/2023)
RR
New Jersey(8/15/2023)
RR
New York(4/27/2023)
RR
North Carolina(8/3/2023)
RR
Ohio(8/1/2023)
RR
Oklahoma(8/1/2023)
RR
Oregon(8/7/2023)
RR
Rhode Island(8/1/2023)
RR
South Carolina(8/30/2023)
RR
South Dakota(8/15/2023)
RR
Texas(8/10/2023)
RR
Utah(8/4/2023)
RR
Virginia(8/2/2023)
RR
West Virginia(8/10/2023)
RR
Wisconsin(8/1/2023)
RR
Wyoming(8/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 11/7/1995
Limited Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HARRIS WILLIAMS
HARRIS WILLIAMS | HARRIS WILLIAMS LLC | HARRIS WILLIAMS ADVISORS, INC. | HARRIS WILLIAMS & CO.
CRD#: 113930 / SEC#: , 8-53380
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1001 Haxall Point 9th Floor, Richmond, VA 23219
Mailing Address
1001 Haxall Point 9th Floor, Richmond, VA 23219
Phone number
(804) 648-0072
Established
Virginia since 01/01/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (45 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BALTIMORE, ROBERT MARTIN | BOARD MEMBER / CO-CEO | 4445610 |
| HART, JASON EDWARD HEATH | FINOP | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL FINANCIAL OFFICER | 4173982 |
| HART, JASON EDWARD HEATH | PRINCIPAL OPERATIONS OFFICER | 4173982 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER AND SECRETARY OF THE BOARD | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER / CO-CEO | 4578584 |
| POGGI, PAUL THOMAS | CHIEF OPERATING OFFICER AND BOARD MEMBER | 5277661 |
| THOMAS, MICHAEL DUANE | BOARD MEMBER | 2992653 |
| VALENTINE, EDWARD WEST | CHAIRMAN OF THE BOARD OF MANAGERS | 2399981 |
| VAN DER WAAG, ASHLEY HOGUE | CHIEF COMPLIANCE OFFICER | 3079633 |
| WILLIAMS, JULIE ANN | BOARD MEMBER | 6040587 |
Disclosures
| Regulatory Event | 1 |
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.
