Lawrence E. Lupas
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 Elliott Lupas, who also goes by Larry Lupas, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1993. Lawrence had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - April 20, 2020
LIFEMARK SECURITIES CORP.
September 22, 2015 - October 29, 2018
FORESTERS EQUITY SERVICES, INC.
October 21, 2014 - September 1, 2015
MONEY CONCEPTS CAPITAL CORP
August 30, 2005 - September 30, 2014
RESOURCE HORIZONS GROUP LLC
May 29, 2001 - August 30, 2005
DUNWOODY BROKERAGE SERVICES, INC.
July 10, 2000 - June 1, 2001
BB&T INVESTMENT SERVICES, INC.
February 3, 2000 - May 4, 2000
PFIC SECURITIES CORPORATION
December 20, 1999 - January 28, 2000
1717 CAPITAL MANAGEMENT COMPANY
April 8, 1998 - November 4, 1999
UVEST FINANCIAL SERVICES GROUP, INC.
December 13, 1996 - March 27, 1998
NATIONAL PLANNING CORPORATION
May 21, 1993 - September 26, 1994
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
