Laurence J. Rappaport
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.
Laurence James Rappaport was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1994. Laurence had worked at 8 firms and has passed the Series 63, SIE 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
December 11, 2009 - December 31, 2014
VISION BROKERAGE SERVICES, LLC
February 22, 2008 - September 2, 2009
JOSEPH GUNNAR & CO. LLC
January 2, 2003 - March 4, 2008
GILFORD SECURITIES INCORPORATED
December 1, 2001 - December 31, 2002
SOURCE CAPITAL GROUP, INC.
June 5, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
September 18, 1995 - June 8, 2001
PRIME CHARTER LTD.
April 17, 1995 - September 13, 1995
PRUDENTIAL EQUITY GROUP, LLC
October 3, 1994 - May 2, 1995
COMMONWEALTH ASSOCIATES
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
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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