Laurence Richardson
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.
Laurence Richardson, who also goes by Larry Richardson, Laurence Wilson Richardson, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1986. Laurence had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2025 - December 19, 2025
FIDELITY BROKERAGE SERVICES LLC
December 22, 2015 - January 7, 2025
EVERCORE GROUP L.L.C.
December 12, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
February 29, 2008 - October 17, 2014
RBC CAPITAL MARKETS, LLC
April 11, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 4, 2002 - April 17, 2007
GLEACHER & COMPANY SECURITIES, INC.
March 20, 2001 - March 6, 2002
W.R. HAMBRECHT + CO., LLC
January 17, 2000 - March 20, 2001
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1997 - January 17, 2000
VOLPE BROWN WHELAN & COMPANY, LLC
November 18, 1986 - February 18, 1997
LEHMAN BROTHERS 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
Series 12
Date: 6/17/2003
NYSE Branch Manager ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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