Lawrence S. Sweetwood
Professional summary
Lawrence Stuart Sweetwood, who also goes by Laurence Stuart Sweetwood, Lawrence Sweetwood, is a registered financial professional currently at MAXIM GROUP LLC located in New York, New York.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1997. Lawrence has worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Stuart Sweetwood's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 28, 2015 - Present
MAXIM GROUP LLC
Office #1: 300 Park Ave 16th Floor, New York, NY 10022July 31, 2012 - October 27, 2015
LADENBURG THALMANN & CO. INC.
May 27, 2011 - July 24, 2012
RODMAN & RENSHAW, LLC
November 24, 2009 - May 27, 2011
HUDSON SECURITIES,INC.
March 7, 2006 - December 16, 2009
KNIGHT CAPITAL AMERICAS, L.P.
June 23, 2003 - March 8, 2006
HUDSON SECURITIES,INC.
February 20, 2002 - June 16, 2003
LADENBURG THALMANN & CO. INC.
February 2, 1998 - September 28, 2001
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
August 12, 1997 - October 14, 1997
NASH, WEISS & 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
(8/22/2017)
(1/8/2020)
(6/17/2025)
(3/19/2018)
(10/29/2015)
(10/28/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/2/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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