Lawrence A. Grabenstein
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 Allan Grabenstein was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1973. Lawrence had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - October 20, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 17, 1996 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 10, 1991 - December 10, 2012
POTOMAC FINANCIAL GROUP, LTD.
January 31, 1984 - October 20, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 15, 1977 - February 1, 1984
FMR SECURITIES, INC.
May 24, 1973 - April 14, 1977
CORNERSTONE FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 1
Date: 5/22/1973
Registered Representative ExaminationSeries 40
Date: 8/24/1976
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
