Larry I. Behrends
Professional summary
Larry Ivan Behrends was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry Ivan Behrends was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1974. Larry had worked at 9 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - August 12, 2010
UNITED EQUITY SECURITIES, LLC
June 12, 2008 - December 31, 2009
WORKMAN SECURITIES CORPORATION
September 16, 2005 - June 13, 2008
CAPWEST SECURITIES, INC.
July 26, 1999 - October 10, 2005
UNITED SECURITIES ALLIANCE, INC.
July 26, 1995 - July 29, 1999
VSR FINANCIAL SERVICES, INC.
March 8, 1995 - July 18, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
January 31, 1994 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
October 25, 1990 - January 14, 1994
LPL FINANCIAL LLC
July 29, 1974 - October 12, 1990
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/26/1974
Registered Representative ExaminationCurrent Firm
UNITED EQUITY SECURITIES, LLC
CRD#: 47261 / SEC#: , 8-51728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UEG, INC. | PARENT COMPANY | |
| PARK, WILLIAM BROWN | CCO | 2073037 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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