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LS

Lawrence A. Souza

Some features on this profile are disabled
CRD#: 1624945
LS

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 Anthony Souza, who also goes by Larry Anthony Souza, Larry Souza, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 2004. Lawrence had worked at 10 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Anthony Souza | Larry Souza

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.
I TEACH AT NIGHT AND ON WEEKENDS AT LOCAL UNIVERSITIES IN THE SAN FRANCISCO BAY AREA INCLUDING SAINT MARY'S COLLEGE, GOLDEN GATE UNIVERSITY & THE UNIVERSITY OF SAN FRANCISCO. I TEACH ON AN AS NEEDED BASIS DURING THE SPRING, SUMMER AND FALL SEMESTERS. I ALSO WORK AS A COMMERCIAL REAL ESTATE/BROKER/AGENT FOR BROOKWOOD STARBOARD COMMERCIAL. GOLDEN GATE UNIVERSITY - WALNUT CREEK NOT-INVESTMENT RELATED ONE YGNACIO CENTER 2ND FLOOR ANNEX - SUITE 20 1990 N. CALIFORNIA BLVD. WALNUT CREEK CA 94596 ACADEMIC ADJUNCT - PROFESSOR NO TIME IS SPENT DURING SECURITIES TRADING HOURS TEACH COURSES ON THE WEEKENDS 6 HOURS JOHNSON/SOUZA GROUP, INC. REAL ESTATE AND FINANCIAL ECONOMIST NOVATO, CA 94114 6 HOURS ST. MARY'S COLLEGE - TEACH FINANCE COURSE 1928 ST. MARY'S ROAD MORAGA, CA 94575 ROLE TITLE: EDUCATOR/INSTRUCTOR; NOT INVESTMENT RELATED; 3 HOURS PER MONTH; 3 HOURS PER MONTH DURING SECURITIES TRADING HOURS UNIVERISTY OF SAN FRANCISCO; TEACH ECONOMICS COURSE; 2130 FULTON STREET SAN FRANCISCO, CA 94117-1080 START DATE 09/2014; ROLE/TITLE: EDUCATOR/INSTRUCTOR; NOT INVESTMENT RELATED; 12 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 30, 2021 - July 1, 2024

PENSERRA SECURITIES, LLC

BD
CRD#: 145994
ORINDA, CA
Past

June 14, 2021 - July 1, 2024

PENSERRA GLOBAL INVESTORS LLC

RIA
CRD#: 174309
ORINDA, CA
Past

April 8, 2015 - July 1, 2021

PILLAR6 ADVISORS, LLC

RIA
CRD#: 154097
PACIFICA, CA
Past

May 2, 2011 - April 2, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
SAN JOSE, CA
Past

January 13, 2010 - October 27, 2010

SOLARI INVESTMENTS, LLC

RIA
CRD#: 147997
LAFAYETTE, CA
Past

February 27, 2009 - January 12, 2010

CHRYSALIS CAPITAL GROUP, LLC

BD
CRD#: 138499
SAN FRANCISCO, CA
Past

March 5, 2007 - December 8, 2008

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
SAN FRANCISCO, CA
Past

March 5, 2007 - December 8, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
SAN FRANCISCO, CA
Past

May 3, 2005 - March 29, 2007

QA3 FINANCIAL LLC

RIA
CRD#: 104957
ROSEVILLE, CA
Past

May 3, 2005 - March 29, 2007

QA3 FINANCIAL CORP.

BD
CRD#: 14754
ROSEVILLE, CA
Past

February 4, 2004 - April 20, 2005

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/11/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/2004
General Securities Representative Examination

Current Firm

PS
PENSERRA SECURITIES, LLC
PENSERRA SECURITIES | PENSERRA SECURITIES, LLC

CRD#: 145994 / SEC#: , 8-67773

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Mailing Address
4 Orinda Way Suite 100-a, Orinda, CA 94563
Phone number
(646) 459-0581
Established
New York since 02/27/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PENSERRA FINANCIAL VENTURES LLCHOLDING COMPANY / MEMBER
CASTELLI, ANTHONY NMNCOO4409925
GEIGER, LEE WILSONFINOP1552293
JOSEPH, ELOIS L'KEKSHACCO5449352
MADRIGAL, JORGE NMNPRESIDENT & CEO / MEMBER3204950

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.

Company Information

PENSERRA SECURITIES, LLC

CRD#: 145994

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