Laurence A. Bag
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.
Laurence Andrew Bag, who also goes by Larry Bag, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1997. Laurence had worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 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
January 18, 2011 - September 8, 2025
TOURMALINE PARTNERS, LLC
June 10, 2009 - January 28, 2011
SMITH CAPITAL MARKETS, LLC.
February 9, 2009 - March 6, 2009
DPEC CAPITAL, INC.
June 13, 2008 - September 15, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
April 20, 1998 - August 13, 1998
HEARTLAND SECURITIES CORP.
January 14, 1997 - April 21, 1998
ICAPITAL MARKETS LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 9/3/2009
Limited Representative-Equity Trader ExamCurrent Firm
TOURMALINE PARTNERS, LLC
CRD#: 154492 / SEC#: , 8-68644
Contact information
FINRA licenses (33 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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