Lawrence H. Foont
Professional summary
Lawrence Howard Joseph Foont 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 8 firms, which includes PRESTIGE FINANCIAL CENTER INC., SLOAN SECURITIES CORP., AURA FINANCIAL SERVICES INC., FIRST MONTAUK SECURITIES CORP., GLENN MICHAEL FINANCIAL INC., GRAYSON FINANCIAL LLC, THE THORNWATER COMPANY L.P., AMPAL SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2006 - August 24, 2009
PRESTIGE FINANCIAL CENTER, INC.
March 9, 2006 - March 15, 2006
PRESTIGE FINANCIAL CENTER, INC.
August 12, 2005 - June 1, 2006
SLOAN SECURITIES CORP.
June 16, 2004 - July 6, 2005
AURA FINANCIAL SERVICES, INC.
October 30, 2002 - June 17, 2004
FIRST MONTAUK SECURITIES CORP.
March 5, 2002 - October 29, 2002
GLENN MICHAEL FINANCIAL, INC.
March 30, 2000 - March 6, 2002
GRAYSON FINANCIAL LLC
May 7, 1999 - March 29, 2000
THE THORNWATER COMPANY, L.P.
November 28, 1988 - February 13, 1989
AMPAL SECURITIES 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
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
