Lawrence G. Kirshbaum
Professional summary
Lawrence Gary Kirshbaum 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 1971. Prior to being barred, Lawrence had worked at 9 firms, which includes PRESTIGE FINANCIAL CENTER INC., JOHN HANCOCK CLEARING CORPORATION, TUCKER ANTHONY INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, PRESCOTT BALL & TURBEN INC., PRESCOTT BALL & TURBEN, PRESCOTT MERRILL TURBEN & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1999 - March 28, 2011
PRESTIGE FINANCIAL CENTER, INC.
November 14, 1991 - December 3, 1996
JOHN HANCOCK CLEARING CORPORATION
April 19, 1991 - May 14, 1999
TUCKER ANTHONY INCORPORATED
July 9, 1987 - October 4, 1990
WELLS FARGO CLEARING SERVICES, LLC
August 14, 1978 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
April 5, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
August 24, 1973 - April 5, 1976
PRESCOTT, BALL & TURBEN
November 15, 1971 - August 24, 1973
PRESCOTT, MERRILL, TURBEN & CO.
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
PC
Date: 2/11/1980
AMEX Put and Call ExamSeries 40
Date: 11/8/1971
Registered Principal ExaminationCurrent Firm
PRESTIGE FINANCIAL CENTER, INC.
CRD#: 30407 / SEC#: , 8-44919
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT PRESTIGE, LLC | OWNER | |
| KIRSHBAUM, LAWRENCE GARY | PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/CCO | 270856 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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