Lawrence M. Thomas
Professional summary
Lawrence Marshall Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Lawrence had worked at 7 firms, which includes ESSEX SECURITIES LLC, BROOKLIGHT PLACE SECURITIES INC., WOODBURY FINANCIAL SERVICES INC., OSAIC WEALTH INC., SUN LIFE FINANCIAL DISTRIBUTORS INC., HORNOR TOWNSEND & KENT LLC, CARILLON INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2014 - September 2, 2015
ESSEX SECURITIES LLC
May 23, 2013 - April 30, 2014
BROOKLIGHT PLACE SECURITIES, INC.
January 21, 2005 - January 9, 2013
WOODBURY FINANCIAL SERVICES, INC.
February 27, 1996 - January 26, 2005
OSAIC WEALTH, INC.
January 30, 1995 - June 20, 1995
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 15, 1988 - December 13, 1994
HORNOR, TOWNSEND & KENT, LLC
March 9, 1988 - September 19, 1988
CARILLON INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESSEX SECURITIES LLC
CRD#: 46605 / SEC#: , 8-51472
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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