Lawrence R. Kaufmann
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 Robert Kaufmann, who also goes by Larry Kaufmann, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1987. Lawrence had worked at 9 firms and has passed the Series 65, Series 63 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
November 9, 2011 - July 26, 2012
ALLSTATE FINANCIAL SERVICES, LLC
May 2, 2009 - October 11, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 11, 2011
CHASE INVESTMENT SERVICES CORP.
March 10, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
March 10, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
July 31, 2007 - September 11, 2007
EQUITABLE ADVISORS, LLC
July 24, 2006 - November 15, 2006
GUNNALLEN FINANCIAL, INC
July 24, 2006 - November 15, 2006
GUNNALLEN FINANCIAL, INC
October 25, 2004 - April 5, 2006
CHASE INVESTMENT SERVICES CORP.
October 25, 2004 - April 5, 2006
CHASE INVESTMENT SERVICES CORP.
January 9, 2004 - October 8, 2004
TD WEALTH MANAGEMENT SERVICES INC.
January 8, 2004 - October 8, 2004
TD WEALTH MANAGEMENT SERVICES INC.
May 23, 2002 - August 28, 2003
UBS FINANCIAL SERVICES INC.
November 16, 2001 - August 28, 2003
UBS FINANCIAL SERVICES INC.
January 6, 1994 - November 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 1987 - February 19, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
