Lawrence D. Simms
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 Daniel Simms, who also goes by Larry D Simms, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1988. Lawrence had worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 30 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 28, 2015 - December 16, 2019
TERRANOVA CAPITAL EQUITIES, INC
April 10, 2013 - December 31, 2013
SOURCE CAPITAL GROUP, INC.
January 15, 2010 - June 6, 2011
JWH SECURITIES, INC.
March 18, 2009 - December 31, 2009
VISION FINANCIAL MARKETS LLC
February 27, 2009 - March 11, 2009
RMIN SECURITIES, INC.
November 13, 2007 - November 20, 2008
RMIN SECURITIES, INC.
October 25, 2005 - April 28, 2006
FORESIGHT RESEARCH SOLUTIONS LLC
April 15, 2003 - July 13, 2004
WELLS FARGO SECURITIES, LLC
June 29, 1998 - February 20, 2003
UBS SECURITIES LLC
February 27, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
March 31, 1997 - January 5, 1998
SALOMON BROTHERS INC.
September 29, 1993 - March 18, 1997
DB ALEX. BROWN LLC
October 28, 1988 - October 7, 1993
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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