Lawrence S. Gelman
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 Scott Gelman, who also goes by Larry Gelman, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1990. Lawrence had worked at 6 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
October 21, 2010 - January 16, 2014
NABSECURITIES, LLC
October 1, 2009 - June 25, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 5, 2009 - September 22, 2009
AURIGA USA, LLC
April 24, 1996 - February 21, 2008
CREDIT SUISSE SECURITIES (USA) LLC
March 14, 1996 - July 15, 1996
J.P. MORGAN SECURITIES INC.
October 5, 1990 - March 13, 1996
CHASE SECURITIES, INC.
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
NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
Red Flags
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