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LK

Lawrence H. Kruger

Some features on this profile are disabled
CRD#: 2067162
LK

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 Harrell Kruger, who also goes by Larry Kruger, Lawrence H Kruger, was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1990. Lawrence had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Larry Kruger | Lawrence H Kruger

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 7, 2018 - January 18, 2019

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
SAN ANTONIO, TX
Past

July 11, 2014 - September 23, 2016

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
LANSING, MI
Past

June 16, 2014 - September 23, 2016

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
LANSING, MI
Past

January 21, 2014 - June 13, 2014

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
GRAYLING, MI
Past

April 3, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
HOUGHTON LAKE, MI
Past

March 27, 2013 - June 13, 2014

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
HOUGHTON LAKE, MI
Past

April 23, 2010 - March 26, 2013

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
ST JOHNS, MI
Past

October 23, 2007 - March 26, 2013

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
GRAND LEDGE, MI
Past

January 9, 2006 - October 15, 2007

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

BD
CRD#: 121699
ST. JOHNS, MI
Past

June 15, 1990 - September 1, 2005

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/1990
General Securities Principal Examination

Current Firm

SI
SWBC INVESTMENT SERVICES, LLC
SWBC INVESTMENT SERVICES, LLC | SWBC WEALTH MANAGEMENT

CRD#: 133715 / SEC#: , 8-66764

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Mailing Address
9311 San Pedro, Ste 600, San Antonio, TX 78216
Phone number
(800) 527-0066
Established
Texas since 08/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOUTHWEST BUSINESS CORPORATIONMEMBER
IRETA, ALEJANDRO GCHIEF OPERATING OFFICER5752503
RYKERT, DONALD SCOTTCEO/CCO2128744
SMITH, RYAN CHARLESDIRECTOR OF FINANCE - FINOP7015114

Disclosures

Regulatory Event1

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.

Company Information

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

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