Lawrence D. Hall
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 Douglas Hall, CFP®, who also goes by Larry Hall, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1987. Lawrence had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2008 - September 23, 2013
SCOTTRADE, INC.
February 7, 2006 - October 12, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 12, 2005 - October 12, 2007
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 21, 2002 - May 20, 2004
LPL FINANCIAL LLC
February 20, 2002 - May 20, 2004
LPL FINANCIAL LLC
July 29, 1999 - February 15, 2002
CHARLES SCHWAB & CO., INC.
March 27, 1991 - October 5, 1998
CHARLES SCHWAB & CO., INC.
November 15, 1989 - April 3, 1991
LEGG MASON WOOD WALKER, INCORPORATED
March 24, 1988 - October 31, 1989
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 1, 1988 - March 1, 1988
OBERWEIS SECURITIES, INC.
June 25, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY 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 8
Date: 4/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
