Lawrence T. Smith
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 Todd Smith, who also goes by Larry Todd Smith, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1994. Lawrence had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - March 13, 2014
RISE FINANCIAL SERVICES, LLC
September 20, 2007 - August 10, 2012
LIGHTSPEED TRADING, LLC
June 29, 2005 - December 31, 2005
G1 EXECUTION SERVICES, LLC
August 6, 2004 - July 28, 2008
LIGHTSPEED PROFESSIONAL TRADING LLC
February 25, 2004 - June 10, 2004
JEFFERIES LLC
December 19, 2003 - February 25, 2004
JEFFERIES EXECUTION SERVICES, INC.
November 27, 1995 - June 11, 1996
BILTMORE SECURITIES, INC.
September 7, 1995 - December 11, 1995
WINDSOR REYNOLDS SECURITIES, INC.
February 24, 1994 - July 26, 1995
STRATTON OAKMONT 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
Current Firm
RISE FINANCIAL SERVICES, LLC
CRD#: 146103 / SEC#: , 8-67787
Contact information
FINRA licenses (7 States and Territories)
Documents
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.
