Dan L. Lawrence
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.
Dan Lee Lawrence, who also goes by Dan Lawrence, Danny Lee Lawrence, Danny Lawrence, was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 1987. Dan had worked at 7 firms and has passed the Series 63, Series 7 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
April 10, 1995 - August 29, 1995
VANGUARD CAPITAL
June 6, 1994 - March 30, 1995
MORGAN STANLEY DW INC.
February 4, 1992 - May 23, 1994
PRUDENTIAL EQUITY GROUP, LLC
July 2, 1990 - February 18, 1992
SUTRO & CO. INCORPORATED
June 9, 1988 - July 20, 1990
LEHMAN BROTHERS INC.
May 6, 1988 - June 20, 1988
KENNEDY, CABOT & CO.
August 20, 1987 - May 10, 1988
GRIFFIN FINANCIAL SERVICES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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