Lawrence I. Berk
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 Irwin Berk was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1970. Lawrence had worked at 11 firms and has passed the Series 63, Series 5, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2012 - July 21, 2014
METHOD INVESTMENTS & ADVISORY LLC
April 2, 2012 - December 13, 2012
CARVER CROSS SECURITIES CORP.
October 31, 2008 - July 18, 2011
CARVER CROSS SECURITIES CORP.
October 27, 1994 - November 1, 2006
BRILL SECURITIES, INC.
March 16, 1992 - October 4, 1994
BLUESTONE CAPITAL CORP.
July 23, 1990 - March 17, 1992
LCP CAPITAL CORP.
September 7, 1979 - August 17, 1990
CIBC WORLD MARKETS CORP.
February 24, 1978 - September 30, 1979
MORGAN STANLEY DW INC.
February 21, 1975 - February 24, 1978
REYNOLDS SECURITIES, INC.
April 19, 1973 - March 15, 1975
WESTMINSTER SECURITIES CORPORATION
March 25, 1971 - April 28, 1973
C. B. RICHARD, ELLIS & CO.
June 22, 1970 - April 17, 1971
FINANCIAL SQUARE PARTNERS
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 8/31/1979
AMEX Put and Call ExamSeries 1
Date: 9/22/1961
Registered Representative ExaminationSeries 00
Date: 4/13/1970
General Securities Principal ExaminationCurrent Firm
METHOD INVESTMENTS & ADVISORY LLC
CRD#: 157887 / SEC#: , 8-68866
Contact information
Documents
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.
