David F. Lawrence
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.
David Fredrick Lawrence JR, who also goes by David Fredrick Jr Lawrence, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 10 firms and has passed the Series 63, SIE, 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
February 1, 2019 - January 2, 2024
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
January 3, 2006 - February 1, 2019
MODERN CAPITAL SECURITIES INC.
October 31, 2005 - January 9, 2006
OSAIC SERVICES, INC.
January 1, 1999 - December 31, 2002
SENTRA SECURITIES CORPORATION
November 16, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
April 3, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
September 19, 1991 - April 11, 1995
D.E. FREY & COMPANY, INC.
April 17, 1991 - August 20, 1991
CHARLES SCHWAB & CO., INC.
September 4, 1990 - November 30, 1990
WELLS FARGO CLEARING SERVICES, LLC
November 17, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
February 26, 1987 - December 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
CRD#: 41282 / SEC#: , 8-49352
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HALPERT, JEFFREY ROSS | CEO | 2072459 |
| HALPERT, JEFFREY ROSS | PRESIDENT | 2072459 |
| HYNES, EDWARD JAMES JR | MEMBER | 1058397 |
| PASCULLI, ANTHONY GREGORY | MEMBER | 2238324 |
| CHIECO, DAVID ANTHONY | MEMBER | 1563513 |
| FEINSTEIN, GEOFF IRA | MEMBER | 2259310 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| COLARUSSO, GINNY | CCO | 4221362 |
| GARBUS, STEVEN DAVID | MEMBER | 1268525 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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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