Laurence T. Fell
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.
Laurence Thomas Fell JR was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1968. Laurence had worked at 10 firms and has passed the Series 63, Series 8, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2002 - April 10, 2003
HIGHTOWER SECURITIES, LLC
October 9, 1997 - May 31, 2000
M. J. WHITMAN, INC.
March 18, 1993 - June 25, 1997
ALEX. BROWN & SONS INCORPORATED
April 2, 1992 - February 17, 1993
SECURITY DEALERS GUILD, INC.
May 31, 1991 - October 1, 1991
UBS SECURITIES LLC
April 26, 1989 - March 12, 1991
CITIGROUP GLOBAL MARKETS INC.
June 26, 1984 - May 4, 1989
LEHMAN BROTHERS INC.
February 22, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 14, 1974 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
October 16, 1968 - February 28, 1974
HAYDEN STONE 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
Series 8
Date: 7/25/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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