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LK

Laurence J. Kandel

Some features on this profile are disabled
CRD#: 2156275
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.

Laurence John Kandel was a registered financial professional .

Laurence is a previously registered financial professional and started their career in finance in 1992. Laurence had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

October 8, 2024 - January 9, 2025

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

February 5, 2024 - September 30, 2024

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
CENTENNIAL, CO
Past

July 20, 2020 - February 2, 2024

STRATCAP SECURITIES, LLC

BD
CRD#: 151152
NEW YORK, NY
Past

April 5, 2019 - January 6, 2020

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

June 8, 2018 - April 5, 2019

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
CENTENNIAL, CO
Past

February 27, 2018 - April 5, 2019

COLORADO FINANCIAL SERVICE CORPORATION

RIA
CRD#: 104343
CENTENNIAL, CO
Past

June 15, 2016 - November 7, 2017

S2K FINANCIAL LLC

BD
CRD#: 248786
ORLANDO, FL
Past

September 11, 2015 - March 10, 2016

JOHNSTON & ASSOCIATES INC

RIA
CRD#: 106048
GLENDALE, CO
Past

February 8, 2008 - September 1, 2015

OBERMEYER WEALTH PARTNERS

RIA
CRD#: 110069
DENVER, CO
Past

October 30, 2006 - November 12, 2007

BEAR STEARNS ASSET MANAGEMENT INC.

RIA
CRD#: 113359
NEW YORK, NY
Past

September 11, 2006 - November 12, 2007

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 6, 1994 - December 31, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

December 23, 1992 - August 25, 2006

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

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: 8/12/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/26/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/10/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/15/1993
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WS
WEALTHFORGE SECURITIES, LLC
WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: , 8-68464

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

Main Address
3015 W Moore St Suite 102, Richmond, VA 23230
Mailing Address
3015 W Moore St Suite 102, Richmond, VA 23230
Phone number
(804) 308-0431
Established
Virginia since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
WEALTHFORGE HOLDINGS, INC.PARENT
ARLES, DONNA DIPIETROCFO, PFO, POO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event3
Arbitration1

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

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

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