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LP

Lawrence G. Peruzzi

MISCHLER FINANCIAL GROUP
Boston, MA 02111
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CRD#: 2318785
LP

Professional summary


Lawrence G Peruzzi MR., who also goes by Larry G. Peruzzi Mr., Lawrence Peruzzi, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Boston, Massachusetts.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 2003. Lawrence has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 3 and Series 24 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Larry G. Peruzzi Mr. | Lawrence Peruzzi

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Lawrence G Peruzzi MR.'s CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

November 9, 2015 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: One Lincoln Street, Floor 30, Suite 124, Boston, MA 02111
BD
CRD#: 37818
Boston, MA
Past

November 21, 2008 - November 11, 2015

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
BOSTON, MA
Past

March 6, 2003 - April 13, 2005

MELLON FUNDS DISTRIBUTOR, L.P.

BD
CRD#: 39414
BOSTON, MA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/9/2015)
RR
Connecticut
(11/9/2015)
RR
Illinois
(2/23/2022)
RR
Massachusetts
(11/9/2015)
RR
New York
(2/23/2022)

Exams


State Security Law Exam
RR
Series 63
Date: 1/7/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/10/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information


Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures


Regulatory Event6

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.

Company Information


MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Boston, MA 02111

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