Lawrence J. Pross
Professional summary
Lawrence Joseph Pross was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Lawrence had worked at 3 firms, which includes WOLFF INVESTMENT GROUP INCORPORATED, W.J. NOLAN & COMPANY INC., MEYERS POLLOCK ROBBINS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 1998 - August 5, 1998
WOLFF INVESTMENT GROUP INCORPORATED
July 7, 1997 - December 16, 1997
W.J. NOLAN & COMPANY, INC.
July 7, 1997 - May 27, 1998
MEYERS POLLOCK ROBBINS, 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
Series 62
Date: 12/26/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
WOLFF INVESTMENT GROUP INCORPORATED
CRD#: 21930 / SEC#: , 8-39393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASSIN, MICHAEL A | SHAREHOLDER | |
| SCHAEN, PATRICIA ANN | PRESIDENT, DIRECTOR | 412379 |
| ABER, STANLEY | SHAREHOLDER | |
| ADLER, LEN | FINOP | 2721453 |
| BREWSTER, BRUCE | SHAREHOLDER | 30219 |
| KAMEL, NANCY PRAGER | SHAREHOLDER | 4371829 |
| MICHAEL BIDDLE | SHAREHOLDER | |
| RUSSELL, VIRGINIA DE G | SHAREHOLDER | |
| SPINELLA, GERALDINE ANNE | SHAREHOLDER | 1014228 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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