Larry Carr
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.
Larry Carr was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1987. Larry had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2015 - November 2, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 6, 2010 - June 13, 2013
NORTH RIDGE SECURITIES CORP.
August 27, 2009 - October 15, 2009
MML INVESTORS SERVICES, LLC
December 10, 2005 - October 15, 2009
MML DISTRIBUTORS, LLC
January 27, 2003 - May 24, 2004
TOWER SQUARE SECURITIES, INC.
December 31, 2000 - November 12, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 21, 2000 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
June 1, 1998 - January 14, 2000
OSAIC FA, INC.
February 9, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 18, 1987 - December 5, 1994
CAPITAL BROKERAGE CORPORATION
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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