Laurence D. Goldstein
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.
Laurence Darren Goldstein, ChFC®, CLU®, who also goes by Larry Goldstein, Lawrence Darren Goldstein, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1992. Laurence had worked at 5 firms and has passed the Series 63, SIE 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
April 11, 2014 - December 31, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 3, 2006 - February 12, 2014
NEW ENGLAND SECURITIES
February 23, 1993 - February 10, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 23, 1993 - February 10, 2006
OSAIC FA, INC.
August 19, 1992 - February 17, 1993
BMA FINANCIAL SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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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