Lawrence J. Defluri
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 John Defluri was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1996. Lawrence had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - December 7, 2015
PURSHE KAPLAN STERLING INVESTMENTS
August 28, 2015 - November 13, 2024
SEVENBRIDGE FINANCIAL GROUP, LLC
February 25, 2000 - September 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 7, 1999 - September 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 13, 1998 - September 29, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 1996 - January 9, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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