Lawrence J. Kremla
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 James Kremla was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1973. Lawrence had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 000, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2009 - May 30, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 13, 2009 - May 30, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 22, 1997 - February 19, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - February 19, 2009
CITIGROUP GLOBAL MARKETS INC.
February 17, 1984 - September 11, 1985
CHILES, HEIDER & CO., INC.
August 19, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
March 1, 1973 - September 15, 1973
FIRST MID AMERICA CORPORATION
March 1, 1973 - January 20, 1975
FIRST MID-AMERICA INC.
March 1, 1973 - August 24, 1983
CHILES, HEIDER & CO., INC.
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 5/19/1977
AMEX Put and Call ExamSeries 000
Date: 3/1/1973
General Securities Principal ExaminationSeries 1
Date: 2/22/1973
Registered Representative ExaminationSeries 40
Date: 8/8/1974
Registered Principal ExaminationCurrent Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
