Lawrence S. Pokora
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 Steven Pokora, who also goes by Larry Pokora, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1994. Lawrence had worked at 7 firms and has passed the Series 66, Series 63, Series 65, 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 22, 2022 - January 18, 2023
FORESIDE FINANCIAL SERVICES, LLC
November 29, 2018 - September 1, 2021
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
June 25, 2018 - September 1, 2021
TORTOISEECOFIN SECURITIES, LLC
July 2, 2012 - September 17, 2013
BARON CAPITAL, INC.
February 25, 2008 - March 22, 2012
PLUS SECURITIES LLC
January 15, 2002 - March 18, 2004
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
April 15, 1994 - July 27, 1998
SEI INVESTMENTS DISTRIBUTION 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
Exams
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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