Lloyd S. Beirne
Professional summary
Lloyd Sylvester Martin Beirne was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lloyd is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Lloyd had worked at 5 firms, which includes D.L. CROMWELL INVESTMENTS INC., COLIN WINTHROP & CO. INC., GRUNTAL & CO. L.L.C., LADENBURG THALMANN & CO. INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 1995 - April 17, 2003
D.L. CROMWELL INVESTMENTS, INC.
May 10, 1994 - November 10, 1995
COLIN WINTHROP & CO., INC.
November 16, 1992 - April 12, 1994
GRUNTAL & CO., L.L.C.
December 17, 1991 - May 26, 1992
LADENBURG THALMANN & CO. INC.
August 22, 1989 - January 3, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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