Lawrence F. Mcintosh
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 Forbes Mcintosh was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1986. Lawrence had worked at 2 firms and has passed the Series 65, Series 63, Series 55, Series 5, Series 15, Series 3, Series 7, Series 14, Series 53, Series 27, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2006 - February 7, 2014
USI SECURITIES, INC.
July 5, 2006 - February 7, 2014
USI SECURITIES, INC.
January 4, 1999 - May 31, 2006
ADVEST, INC.
October 22, 1986 - August 3, 2006
ADVEST, INC.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
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: 5/27/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 5/20/1988
Interest Rate Options ExaminationSeries 15
Date: 5/16/1988
Foreign Currency Options ExaminationSeries 8
Date: 8/4/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
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.
