Lawrence B. Goldstein
Professional summary
Lawrence Burton Goldstein 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 6 firms, which includes MCNALLY FINANCIAL SERVICES CORPORATION, JHS CAPITAL ADVISORS LLC, STERLING FINANCIAL INVESTMENT GROUP INC., MORGAN STANLEY DW INC., J.P. MORGAN SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2010 - February 28, 2020
MCNALLY FINANCIAL SERVICES CORPORATION
September 23, 2005 - April 16, 2010
JHS CAPITAL ADVISORS, LLC
March 30, 2001 - September 23, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
May 11, 1999 - April 23, 2001
MORGAN STANLEY DW INC.
May 12, 1994 - May 12, 1999
J.P. MORGAN SECURITIES LLC
November 16, 1992 - May 18, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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