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Lawrence Minetree Lowman

CRD# 1642166·Registered 1987 - 2008
Previously Registered: Being a previously registered professional could mean that Lawrence 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.

Professional Summary

Lawrence Minetree Lowman, who also goes by Larry Lowman, Lawrence M Lowman, was a registered financial advisor. Lawrence was a previously registered financial professional and started their career in finance 1987 - 2008. Lawrence had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Larry Lowman, Lawrence M Lowman

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

IRONSTONE SECURITIES, INC.·CRD# 130335
RIA
Raleigh, NC
May 19, 2008 - December 31, 2008
FIRST CITIZENS INVESTOR SERVICES, INC.·CRD# 44430
RIA
Charlotte, NC
October 2, 2006 - March 1, 2013
IRONSTONE SECURITIES, INC.·CRD# 130335
BD
Raleigh, NC
October 2, 2006 - April 3, 2009
FIRST CITIZENS INVESTOR SERVICES, INC.·CRD# 44430
BD
Charlotte, NC
October 2, 2006 - March 1, 2013
JBS LIBERTY SECURITIES, INC.·CRD# 36179
RIA
Charlotte, NC
November 23, 1998 - September 29, 2006
JBS LIBERTY SECURITIES, INC.·CRD# 36179
BD
Charlotte, NC
May 18, 1994 - September 29, 2006
UVEST FINANCIAL SERVICES GROUP, INC.·CRD# 13787
BD
Charlotte, NC
February 17, 1994 - April 15, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
August 12, 1987 - February 8, 1994

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Current Firm

IS
IRONSTONE SECURITIES, INC.

IRONSTONE SECURITIES, INC.

CRD#: 130335 / SEC#: 8-66333
BD
Terminated by SEC on 06/02/2009

Contact Information

Established

North Carolina since 11/24/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST CITIZENS BANK & TRUST COMPANY100% OWNER—
BLACK, KENNETH ALEXANDERDIRECTOR2989066
BOGACZYK, STEVEN FREDCFO, DIRECTOR2469749
CREEKMAN, JAMES ERVINDIRECTOR2989069
HOLDING, FRANK BROWN JRDIRECTOR2989068
JONES, HIRAM RAMSEY IIPRESIDENT1876061
LOWMAN, LAWRENCE MINETREEDIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER1642166
YOCHEM, CAROL BLADEDIRECTOR1254414

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1993About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 1994About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1994About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Mar 1994About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Sep 1990About the Series 27 exam

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CRS (Client Relationship Summary)

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

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