Lawrence R. Dugo
Professional summary
Lawrence Richard Dugo was barred by the FINRA 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 1995. Prior to being barred, Lawrence had worked at 10 firms, which includes VFINANCE INVESTMENTS INC, YANKEE FINANCIAL GROUP INC., SALOMON GREY FINANCIAL CORPORATION, EMMETT A LARKIN COMPANY INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, J.P. TURNER & COMPANY L.L.C., MEYERS POLLOCK ROBBINS INC., R.D. WHITE & CO. INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2002 - August 12, 2002
VFINANCE INVESTMENTS, INC
December 7, 2001 - June 5, 2002
YANKEE FINANCIAL GROUP, INC.
November 18, 1999 - November 16, 2001
SALOMON GREY FINANCIAL CORPORATION
July 11, 1999 - October 12, 1999
EMMETT A LARKIN COMPANY, INC.
December 8, 1998 - June 10, 1999
LCP CAPITAL CORP.
June 17, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
July 21, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
April 17, 1997 - July 1, 1997
MEYERS POLLOCK ROBBINS, INC.
July 1, 1996 - February 25, 1997
R.D. WHITE & CO., INC.
November 9, 1995 - May 2, 1996
A.S. GOLDMEN & CO., 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: 9/18/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
Red Flags
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