Lawrence A. Klenda
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 Andrew Klenda, who also goes by Lawrence A Klenda, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1991. Lawrence had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2008 - October 1, 2022
COOPER MALONE MCCLAIN, INC.
January 3, 2008 - October 1, 2022
COOPER MALONE MCCLAIN, INC.
August 30, 2006 - November 3, 2006
GOLD CAPITAL MANAGEMENT INC.
June 1, 2006 - January 2, 2008
M&I FINANCIAL ADVISORS, INC
June 1, 2006 - January 2, 2008
M&I FINANCIAL ADVISORS, INC
June 17, 2005 - June 1, 2006
GOLD CAPITAL MANAGEMENT INC.
July 15, 2003 - June 1, 2006
GOLD CAPITAL MANAGEMENT INC.
December 17, 1998 - July 14, 2003
FROGGATTE & COMPANY
July 22, 1998 - July 14, 2003
FROGGATTE & COMPANY
May 11, 1998 - August 25, 1998
WELLS FARGO CLEARING SERVICES, LLC
January 15, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
October 21, 1991 - February 6, 1996
UBS FINANCIAL SERVICES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
COOPER MALONE MCCLAIN, INC.
CRD#: 18637 / SEC#: , 8-36959
Contact information
Disclosures
| Regulatory Event | 3 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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