Lawrence S. Black
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 Stuart Black was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1959. Lawrence had worked at 3 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2000 - May 6, 2003
WELLS FARGO SECURITIES, LLC
February 12, 1986 - April 29, 2000
BLACK & COMPANY, INC.
July 14, 1972 - October 10, 1973
DECATHLON DISTRIBUTORS
August 3, 1959 - April 23, 1985
BLACK & 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
WELLS FARGO SECURITIES, LLC
CRD#: 7665 / SEC#: , 8-22947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO PRIVATE CLIENT FUNDING, INC. | PARENT | |
| HULLAR, JOHN PAUL | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD | |
| SALINS, NATASHA ZALEEMA | CHIEF COMPLIANCE OFFICER | 3250279 |
| SLOAN, TIMOTHY JOHN | VICE CHAIRMAN OF THE BOARD/DIRECTOR | |
| YATES, EUGENE ALAN | CHIEF FINANCIAL OFFICER/TREASURER/FINANCIAL AND OPERATIONS PRINCIPAL | 2851324 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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