Lawrence J. Lasala
Professional summary
Lawrence John Lasala was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Lawrence had worked at 5 firms, which includes VOYA FINANCIAL ADVISORS INC., VERAVEST INVESTMENTS INC., HORNOR TOWNSEND & KENT LLC, 1717 CAPITAL MANAGEMENT COMPANY, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2000 - July 3, 2002
VOYA FINANCIAL ADVISORS, INC.
November 3, 1999 - September 19, 2000
VERAVEST INVESTMENTS, INC.
August 10, 1995 - November 1, 1999
HORNOR, TOWNSEND & KENT, LLC
September 14, 1994 - August 22, 1995
1717 CAPITAL MANAGEMENT COMPANY
May 28, 1992 - September 15, 1994
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
