Paul 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.
Paul Thomas Lawrence, who also goes by Paul T Lawrence, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1992. Paul had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2009 - November 3, 2016
OSAIC INSTITUTIONS, INC.
September 28, 2009 - November 3, 2016
OSAIC INSTITUTIONS, INC.
July 24, 2009 - September 21, 2009
NEXT FINANCIAL GROUP, INC.
July 16, 2009 - September 21, 2009
NEXT FINANCIAL GROUP, INC.
July 10, 2006 - April 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 11, 2006 - April 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 14, 2004 - November 22, 2005
TRANSAMERICA CAPITAL, LLC
February 17, 2000 - October 4, 2004
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 2, 1996 - January 27, 2000
FIS SECURITIES, INC.
June 28, 1995 - December 31, 1995
CONSECO SECURITIES, INC.
June 24, 1994 - June 20, 1995
IFMG SECURITIES, INC.
March 25, 1994 - June 24, 1994
CONSECO SECURITIES, INC.
February 3, 1994 - March 26, 1994
USLIFE EQUITY SALES CORP.
August 31, 1992 - January 20, 1994
NEW ENGLAND SECURITIES
March 4, 1992 - August 28, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 4, 1992 - August 28, 1992
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
