Lawrence S. Bauman
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 Scott Bauman, who also goes by Larry Bauman, Lawrence Bauman, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1998. Lawrence had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2016 - March 13, 2018
WHITAKER SECURITIES LLC
March 31, 2016 - September 12, 2016
TAVIRA SECURITIES US LLC
January 10, 2012 - November 12, 2015
ABN AMRO CLEARING USA LLC
December 20, 2005 - November 30, 2011
MF GLOBAL INC.
February 19, 1998 - December 31, 2005
REFCO SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
