Lawrence E. Seppanen
Professional summary
Lawrence Eric Seppanen was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Lawrence had worked at 2 firms, which includes WMA SECURITIES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 1997 - October 5, 1998
WMA SECURITIES, INC.
August 31, 1987 - April 25, 1997
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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