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Lawrence John Lasorsa

CRD# 2353613·Registered 1994 - 2012
Previously Registered: Being a previously registered professional could mean that Lawrence 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.

Professional Summary

Lawrence John Lasorsa was a registered financial advisor. Lawrence was a previously registered financial professional and started their career in finance 1994 - 2012. Lawrence had worked at 13 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

K.C. WARD FINANCIAL·CRD# 145135
BD
Ronkonkoma, NY
June 23, 2011 - September 19, 2012
PHD CAPITAL·CRD# 38785
BD
New York, NY
January 27, 2010 - March 12, 2010
PHD CAPITAL·CRD# 38785
BD
Holtsville, NY
August 4, 2009 - December 8, 2009
ITRADEDIRECT.COM CORP·CRD# 18281
BD
Selden, NY
March 23, 2009 - June 19, 2009
ITRADEDIRECT.COM CORP·CRD# 18281
BD
Selden, NY
April 9, 2008 - July 1, 2008
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Medford, NY
January 30, 2007 - February 6, 2008
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Patchogue, NY
September 22, 2005 - December 5, 2006
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
July 28, 2003 - September 16, 2005
S.W. BACH & COMPANY·CRD# 43522
BD
Port Washington, NY
February 14, 2003 - July 24, 2003
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
April 22, 2002 - February 25, 2003
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
August 24, 2001 - May 14, 2002
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
December 22, 2000 - August 10, 2001
GLOBAL CAPITAL SECURITIES CORPORATION·CRD# 16184
BD
Englewood, CO
February 7, 2000 - January 2, 2001
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
March 16, 1999 - July 1, 1999
LT LAWRENCE & CO., INC.·CRD# 31956
BD
New York, NY
April 29, 1998 - September 29, 1998
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
March 12, 1997 - May 4, 1998
FIRST ASSET MANAGEMENT, INC.·CRD# 17341
BD
Garden City, NY
December 19, 1996 - February 4, 1997
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
April 17, 1995 - October 25, 1996
FIRST ASSET MANAGEMENT, INC.·CRD# 17341
BD
Garden City, NY
May 26, 1994 - March 20, 1995
A.J. MICHAELS & CO., LTD.·CRD# 19883
BD
Hauppauge, NY
May 3, 1994 - May 31, 1994
HANOVER, STERLING & COMPANY LTD.·CRD# 15491
BD
New York, NY
March 3, 1994 - April 26, 1994

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Current Firm

KW
K.C. WARD FINANCIAL

K.C. WARD FINANCIAL | K.C. WARD FINANCIAL LLC

CRD#: 145135 / SEC#: 8-67706
BD
Terminated by SEC on 02/16/2018

Contact Information

Established

Delaware since 06/01/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WARD, LOUISCEO2080639
CARRILLO, CHARLESCHIEF COMPLIANCE OFFICER41630

Disclosures

Regulatory Event

3

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1994About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1994About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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