Lawrence M. Lowe
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 Marc Lowe, who also goes by Larry Lowe, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1995. Lawrence had worked at 21 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2015 - February 16, 2017
LAIDLAW & COMPANY (UK) LTD.
January 3, 2013 - May 29, 2015
SPARTAN CAPITAL SECURITIES, LLC
September 8, 2008 - January 17, 2013
JOHN THOMAS FINANCIAL
July 14, 2008 - September 25, 2008
HALLMARK INVESTMENTS, INC.
July 12, 2007 - July 10, 2008
WESTROCK ADVISORS, INC.
February 5, 2007 - July 25, 2007
GUNNALLEN FINANCIAL, INC
January 17, 2006 - March 5, 2007
AMERICAN CAPITAL PARTNERS, LLC
January 8, 2004 - April 12, 2004
SAXONY SECURITIES, INC.
August 20, 2003 - November 17, 2003
BRILL SECURITIES, INC.
July 23, 2002 - August 25, 2003
ARISTATRADE SECURITIES, LLC
September 20, 2000 - August 12, 2002
BRILL SECURITIES, INC.
July 8, 1999 - October 17, 2000
CANTELLA & CO., INC.
January 4, 1999 - July 9, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 27, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
October 20, 1997 - September 21, 1998
GLOBAL CAPITAL MARKETS, LLC
July 21, 1997 - November 21, 1997
M.S. FARRELL & COMPANY, INC.
March 17, 1997 - July 30, 1997
H G I
December 6, 1996 - March 7, 1997
HD BROUS & CO., INC.
October 18, 1996 - December 10, 1996
LANDMARK INTERNATIONAL EQUITIES
July 9, 1996 - October 24, 1996
MEYERS POLLOCK ROBBINS, INC.
October 13, 1995 - July 12, 1996
TASIN & COMPANY, INC.
July 18, 1995 - October 16, 1995
CONTINENTAL BROKER-DEALER CORP.
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 62
Date: 7/17/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
