Lawrence Flayton
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 Flayton was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1964. Lawrence had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2002 - December 31, 2012
SANDGRAIN SECURITIES LLC
February 19, 1997 - February 22, 2002
PIPER SANDLER & CO.
September 15, 1989 - February 13, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 9, 1973 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
March 14, 1973 - June 5, 1974
HALLE & STIEGLITZ, FILOR BULLARD, INC.
December 28, 1964 - March 23, 1973
SCHWEICKART & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 3/17/1960
Registered Representative ExaminationCurrent Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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