AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LS

Laurence Schmelzinger

Some features on this profile are disabled
CRD#: 1665433
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.

Laurence Schmelzinger, who also goes by L,n Schmelzinger, Larry Schmelzinger, was a registered financial professional .

Laurence is a previously registered financial professional and started their career in finance in 1987. Laurence had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

L,n Schmelzinger | Larry Schmelzinger

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.

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

May 4, 2010 - December 21, 2018

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
New York, NY
Past

January 28, 2005 - April 30, 2010

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

May 24, 2001 - January 4, 2005

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

January 16, 2001 - April 11, 2001

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

May 8, 1991 - December 12, 2000

ICAP SECURITIES USA LLC

BD
CRD#: 19739
NEW YORK, NY
Past

July 25, 1987 - April 26, 1991

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY

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
Series 63
Date: 9/29/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/2000
General Securities Representative Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

TRUST BUT VERIFY

Monitor Laurence Schmelzinger

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.