Andrew M. Laurence
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.
Andrew Maclean Laurence was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1987. Andrew had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2015 - August 10, 2015
PAR5 CAPITAL & CO LLC
September 14, 2010 - May 28, 2015
B. RILEY WEALTH MANAGEMENT
October 31, 2007 - June 4, 2010
B. RILEY WEALTH MANAGEMENT
July 15, 2002 - September 5, 2007
BGC FINANCIAL, L.P.
July 2, 2002 - July 19, 2002
EQUITABLE ADVISORS, LLC
July 12, 2001 - July 19, 2002
EQUITABLE ADVISORS, LLC
August 4, 1993 - April 3, 2001
ICAP SECURITIES USA LLC
May 10, 1990 - July 23, 1993
DEALERWEB LLC
July 25, 1987 - November 13, 1989
INTERCAPITAL GOVERNMENT SECURITIES 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 55
Date: 2/13/2001
Limited Representative-Equity Trader ExamCurrent Firm
PAR5 CAPITAL & CO LLC
CRD#: 134657 / SEC#: , 8-66850
Contact information
FINRA licenses (11 States and Territories)
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.
