Lawrence W. Bailey
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 Warren Bailey, who also goes by Larry Bailey Jr, Lawrence Warren Bailey Jr, Lawrence Bailey, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1995. Lawrence had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - February 10, 2025
BESSEMER INVESTOR SERVICES, INC.
July 13, 2015 - May 9, 2016
AEGIS CAPITAL CORP.
September 8, 2010 - July 22, 2015
SCOTTRADE, INC.
February 5, 2010 - May 28, 2010
TD WEALTH MANAGEMENT SERVICES INC.
July 17, 2008 - February 8, 2010
E*TRADE SECURITIES LLC
July 1, 2008 - February 8, 2010
E*TRADE CLEARING LLC
May 8, 2007 - July 1, 2008
E*TRADE SECURITIES LLC
December 17, 1997 - April 5, 2006
TD AMERITRADE, INC.
August 18, 1995 - March 28, 1997
TOLUCA PACIFIC SECURITIES CORP.
August 16, 1995 - August 25, 1995
ATLANTIC GENERAL FINANCIAL CORP.
February 10, 1995 - July 25, 1995
INVESTORS ASSOCIATES, 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
BESSEMER INVESTOR SERVICES, INC.
CRD#: 17442 / SEC#: , 8-35199
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BESSEMER TRUST COMPANY, N.A. | SHAREHOLDER | |
| BOYLE, PATRICK SIDNEY | SENIOR VICE PRESIDENT | 2472066 |
| GLOWACKI, JEFF JOSEPH | DIRECTOR/SENIOR VICE PRESIDENT | 2942946 |
| GUPTA, RITU | CHIEF COMPLIANCE OFFICER/ASSISTANT SECRETARY | 5059699 |
| MARQUEZ, MICHAEL ALLEN | DIRECTOR/PRESIDENT | 4413060 |
| MCBRIDE, TIMOTHY SEAN | SENIOR VICE PRESIDENT | 2554176 |
| PEDROSO, ARTURO GUSTAVO | SENIOR VICE PRESIDENT | 5161708 |
| SCHLUSSELBERG, BRIAN SCOTT | SENIOR VICE PRESIDENT | 4716582 |
| SLOAN, BENJAMIN PERRY | SENIOR VICE PRESIDENT | 4243057 |
| SYMINGTON, JANE REILLY | SENIOR VICE PRESIDENT | 2520317 |
| TRIMARCO MIRANDO, DIANA | ASSISTANT TREASURER/ASSISTANT FINANCIAL & OPERATIONS PRINCIPAL | 5714209 |
| YAWORSKY, GEORGE M. | TREASURER/FINANCIAL & OPERATIONS PRINCIPAL | 6425195 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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