Lawrence A. Grolemund
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 Allen Grolemund was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1969. Lawrence had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 15, Series 000, Series 1, Series 8, Series 4, Series 53, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1990 - December 23, 1999
ADVEST, INC.
November 3, 1981 - May 25, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 29, 1978 - November 25, 1981
E. F. HUTTON & COMPANY INC
February 24, 1978 - January 21, 1979
MORGAN STANLEY DW INC.
September 12, 1974 - February 24, 1978
REYNOLDS SECURITIES, INC.
October 18, 1972 - October 16, 1974
LOEB RHOADES & CO
March 2, 1971 - September 21, 1972
REYNOLDS SECURITIES, INC.
December 22, 1969 - March 20, 1971
E. F. HUTTON & 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
Series 5
Date: 4/21/1983
Interest Rate Options ExaminationSeries 15
Date: 12/13/1982
Foreign Currency Options ExaminationSeries 000
Date: 12/15/1969
General Securities Principal ExaminationSeries 1
Date: 12/15/1969
Registered Representative ExaminationSeries 8
Date: 3/19/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 1/17/1981
NYSE Branch Manager ExaminationCurrent Firm
ADVEST, INC.
CRD#: 10 / SEC#: , 8-21409
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVEST GROUP, INC. | PARENT COMPANY OF ADVEST, INC. | |
| DIAMOND, JASON HOWARD | C.F.O. | 2320884 |
| DOYLE, SCOTT JOHN | SROP | 2100219 |
| FREITAG, WILLIAM CHRISTIAN | C.C.O. | 1732667 |
| HOROWITZ, DAVID ADAM | DIRECTOR | 1827880 |
| KUCKRO, LEE GERARD | C.L.O. | 1318309 |
| MCINTOSH, LAWRENCE FORBES | C.R.O.P. | 1571279 |
| MULLANE, DANIEL JOSEPH | PRESIDENT AND CEO | 1246435 |
| WELLINGTON, JOHN HOLMES SR | DIRECTOR - C.O.O. | 1314741 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 53 |
Red Flags
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