Lawrence M. Kaplow
Professional summary
Lawrence M Kaplow, CFP®, who also goes by Larry Kaplow, Lawrence Kaplow, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in New York, New York and TRUIST INVESTMENT SERVICES, INC. located in New York, New York.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lawrence has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence M Kaplow's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2000
Experience
September 18, 2017 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 50 Hudson Yards Fl 69, New York, NY 10001September 14, 2017 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 50 Hudson Yards Fl 69, New York, NY 10001October 23, 2009 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 8, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 31, 2006 - April 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2006 - April 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - April 3, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 3, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 7, 2004 - October 20, 2004
QUICK & REILLY, INC.
March 7, 2001 - October 20, 2004
QUICK & REILLY, INC.
January 22, 1998 - October 6, 2000
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/14/2017)
(1/19/2018)
(9/14/2017)
(9/14/2017)
(9/14/2017)
(9/14/2017)
(6/19/2018)
(9/14/2017)
(9/14/2017)
(7/26/2021)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
