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LF

Lawrence W. Foster

Some features on this profile are disabled
CRD#: 2734837
LF

Professional summary

Lawrence Wayne Foster 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 1996. Prior to being barred, Lawrence had worked at 3 firms, which includes WORLD GROUP SECURITIES INC., SECURITIES AMERICA INC., WMA SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lawrence Foster | L W Peppersfoster

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 10, 2004 - August 19, 2009

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

September 11, 2000 - May 4, 2004

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

June 11, 1996 - September 5, 2000

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/8/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 6/8/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WG
WORLD GROUP SECURITIES, INC.
WORLD GROUP SECURITIES, INC.

CRD#: 114473 / SEC#: , 8-53428

BD
Terminated by SEC on 04/15/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/06/2001
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AEGON ASSET MANAGEMENT SERVICES, INC.SHAREHOLDER
BOUDOURIS, JAMES PETERMUNICIPAL SECURITIES PRINCIPAL2050302
CARPENTER, TODD ANDREWCHIEF SUPERVISORY OFFICER3125437
DAVIES, SUSAN E.DIRECTOR4718249
DODSON, PATTY JEANASSISTANT VICE PRESIDENT1925182
JOSEPH, JOHN WARRENCHIEF MARKETING OFFICER4494872
LINDER, JACK DARRELLDIRECTOR1015860
MILLER, SETH DAVIDPRESIDENT5628646
MINECK, PAUL D.DIRECTOR4528075
MOATE, NANCY ANNVICE PRESIDENT/TREASURER/CHIEF FINANCIAL OFFICER2422381
MURSHEDI, AEYSHA KVICE PRESIDENT & CHIEF OPERATIONS OFFICER2530869
TRIVERS, DAN SHANEVICE-PRESIDENT & CHIEF ADMINISTRATIVE OFFICER1948553
VERMILLION, DERRICK WADEVICE PRESIDENT, CHIEF COMPLIANCE OFFICER, CHIEF AML OFFICER3213279

Disclosures

Regulatory Event10

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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Company Information

WORLD GROUP SECURITIES, INC.

CRD#: 114473

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