Lori T. Lawrence
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.
Lori Taylor Lawrence, who also goes by Lori Alice Taylor, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1992. Lori had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2019 - December 10, 2020
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
January 3, 2006 - February 1, 2019
MODERN CAPITAL SECURITIES INC.
October 31, 2005 - January 9, 2006
OSAIC SERVICES, INC.
November 16, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
May 10, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
February 17, 1992 - April 11, 1995
D.E. FREY & COMPANY, 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
Current Firm
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
CRD#: 41282 / SEC#: , 8-49352
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HALPERT, JEFFREY ROSS | CEO | 2072459 |
| HALPERT, JEFFREY ROSS | PRESIDENT | 2072459 |
| HYNES, EDWARD JAMES JR | MEMBER | 1058397 |
| PASCULLI, ANTHONY GREGORY | MEMBER | 2238324 |
| CHIECO, DAVID ANTHONY | MEMBER | 1563513 |
| FEINSTEIN, GEOFF IRA | MEMBER | 2259310 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| COLARUSSO, GINNY | CCO | 4221362 |
| GARBUS, STEVEN DAVID | MEMBER | 1268525 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
