Lawrence Sodokoff
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 Sodokoff, who also goes by Larry Sodokoff, Lawrence Clark Sodokoff, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1993. Lawrence had worked at 13 firms and has passed the Series 63, Series 65, SIE 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
July 20, 2020 - March 26, 2024
FIRST BROKERS SECURITIES LLC
June 1, 2017 - June 30, 2020
LPS CAPITAL LLC
January 2, 2014 - April 28, 2017
TRADITION SECURITIES AND DERIVATIVES LLC
October 3, 2011 - September 25, 2014
STANDARD CREDIT SECURITIES INC.
November 3, 2010 - October 11, 2011
CCM SECURITIES, LLC
April 12, 2010 - October 5, 2010
JVB FINANCIAL GROUP, LLC
January 27, 2009 - March 23, 2010
MAXIM GROUP LLC
March 6, 2007 - March 4, 2009
THE RIDERWOOD GROUP INCORPORATED
May 3, 2005 - November 17, 2006
RAFFERTY CAPITAL MARKETS, LLC
June 13, 2003 - May 9, 2005
SEABOARD SECURITIES, INC.
September 18, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 18, 1998 - April 13, 2000
EQUITABLE ADVISORS, LLC
December 3, 1993 - January 5, 1998
NATWEST MARKETS SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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