Lawrence Seigelstein

PROSPERITY - AN EISNERAMPER COMPANY

ISELIN, NJ 08830

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CRD#: 1987449

Professional summary

Lawrence Seigelstein, AIF®, who also goes by Larry Seigelstein, Lawrence Larry Seigelstein, is a registered financial advisor currently at PROSPERITY - AN EISNERAMPER COMPANY located in Iselin, New Jersey and DAI SECURITIES, LLC located in New York, New York.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Lawrence has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Seigelstein | Lawrence Larry Seigelstein

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Advocacy, LLC; Investment related; Service: OUTSIDE INSURANCE activities, life, health, disability, long term care insurance; Start date: 5/1/18; Duties and Title: Advisor. Prosperity - An EisnerAmper Company; investment related; Business type: RIA; Start date: 02/2024; title: Senior Wealth Advisor; Duties: financial planner, retirement plan investment specialist.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Seigelstein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 20, 2024 - Present

PROSPERITY - AN EISNERAMPER COMPANY

Office #1: 111 Wood Avenue South Suite 110, Iselin, NJ 08830

RIA

CRD#: 133777

ISELIN, NJ

Current

May 2, 2023 - Present

DAI SECURITIES, LLC

Office #1: 733 3rd Ave, New York, NY 10017

CRD#: 36673

New York, NY

Past

June 14, 2016 - February 22, 2024

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

RIA

CRD#: 121863

ISELIN, NJ

Past

August 16, 2010 - May 1, 2023

APW CAPITAL, INC.

CRD#: 43814

ISELIN, NJ

Past

October 2, 2008 - October 2, 2008

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

NEW YORK, NY

Past

October 2, 2008 - August 16, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

NEW YORK, NY

Past

November 1, 2007 - October 9, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

April 24, 2006 - October 9, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 9, 1990 - August 5, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

September 19, 1989 - October 18, 1990

D. H. BLAIR & CO., INC.

CRD#: 6833

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/2/2023)

California
(5/2/2023)

Colorado
(6/13/2023)

Connecticut
(6/7/2023)

District of Columbia
(6/13/2023)

Florida
(5/2/2023)

New Hampshire
(6/2/2023)

New Jersey
(5/2/2023)

IAR

New Jersey
(2/20/2024)

New York
(5/2/2023)

IAR

New York
(2/20/2024)

North Carolina
(6/13/2023)

North Dakota
(5/2/2023)

Pennsylvania
(5/2/2023)

Texas
(5/2/2023)

IAR

Texas
(2/20/2024)

Vermont
(5/2/2023)

Washington
(6/5/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/1/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/12/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

P-

PROSPERITY - AN EISNERAMPER COMPANY

PROSPERITY - AN EISNERAMPER COMPANY | THE PROSPERITY CONSULTING GROUP, LLC | PROSPERITY, AN EISNERAMPER COMPANY

CRD#: 133777 / SEC#: 801-96321

RIA

Registered Investment Advisory firm - (5/18/2015 Approved)

Florida

Registered Investment Advisory firm - (5/20/2015 Terminated)

Maryland

Registered Investment Advisory firm - (5/19/2015 Terminated)

Virginia

Registered Investment Advisory firm - (5/20/2015 Terminated)

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Contact information

Main Address

10065 Red Run Boulevard Suite 200, Owings Mills, MD 21117

Mailing Address

Phone number

(410) 363-7211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPERITY BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	5,557
AUM (Assets Under Management)	$ 3,195,898,263

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.

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Advisor Monitoring

Firm Stability Insights

Lawrence Seigelstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Seigelstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

EISNERAMPER WEALTH MANAGEMENT & CORPORATE BENEFITS, LLC

APW CAPITAL, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

D. H. BLAIR & CO., INC.

Primary Firm SEC Registration

PROSPERITY - AN EISNERAMPER COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2015

Series 66

Date: 8/12/2006

Series 63

Date: 10/10/1989

SIE

Date: 10/1/2018

Series 7

Date: 4/22/2006

FINRA

Current Firm

PROSPERITY - AN EISNERAMPER COMPANY

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY - AN EISNERAMPER COMPANY

TRUST BUT VERIFY

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