Lawrence J. Littler
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 Joseph Littler III, who also goes by Larry Littler III, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1989. Lawrence had worked at 8 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
September 25, 2014 - December 31, 2015
PATRICK CAPITAL MARKETS, LLC
August 12, 2011 - March 23, 2012
REALTY CAPITAL SECURITIES, LLC
December 10, 2008 - November 2, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
August 21, 2002 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - November 2, 2010
JOHN HANCOCK DISTRIBUTORS LLC
December 19, 2000 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
April 12, 2000 - August 10, 2000
COREBRIDGE CAPITAL SERVICES, INC.
November 28, 1997 - December 13, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
November 19, 1996 - May 28, 1997
LIEBER & COMPANY
May 23, 1989 - June 12, 1996
MANULIFE WOOD LOGAN, 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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
