Lauren O. Larson

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CRD#: 302946

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.

Lauren Oliver Larson, who also goes by Larry Larson, was a registered financial professional .

Lauren is a previously registered financial professional and started their career in finance in 1972. Lauren had worked at 8 firms and has passed the Series 63, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Larson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 6, 1991 - October 29, 2009

OAK TREE SECURITIES, INC.

CRD#: 18126

LIVERMORE, CA

Past

November 19, 1989 - September 17, 1991

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 24, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 29, 1980 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

April 12, 1978 - October 23, 1980

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

Past

October 7, 1976 - January 25, 1983

INDEPENDENT SECURITIES CORPORATION

CRD#: 262

Past

June 12, 1974 - November 1, 1976

PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 684

Past

November 21, 1972 - July 17, 1974

CAPITAL PLANNING SECURITIES COMPANY, INC.

CRD#: 6107

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/18/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 11/16/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 12/26/1975

General Securities Principal Examination

Current Firm

OAK TREE SECURITIES, INC.

CRD#: 18126 / SEC#: 801-39201, 8-36138

RIA

Registered Investment Advisory firm - SEC (5/25/2004 Terminated)

California

Registered Investment Advisory firm - SEC (3/30/2004 Approved)

Hawaii

Registered Investment Advisory firm - SEC (1/21/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Mailing Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Phone number

(925) 245-0570

Established

California since 04/30/1986

Firm type

Corporation

Fiscal year end

April

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUESADA, DANIEL MARTINEZ	PRESIDENT, CFO,	817404
DAHL, ERIC DREW	PRINCIPAL	735877
LARSON, DENNIS ARTHUR	REGISTERED REP	302868
WILLIAMS, PATRICIA JEAN	PRINCIPAL	1006661
DURDEN, JOHN KENNETH JR	FINANCIAL PRINCIPAL	860423
GODINEZ, DAVID GREGORY	PRINCIPAL, CHIEF COMPLIANCE OFFICER	2086793

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 3,689,200

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Lauren O. Larson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

INDEPENDENT FINANCIAL PLANNERS CORPORATION

INDEPENDENT SECURITIES CORPORATION

PUTNAM FUND DISTRIBUTORS, INC.

CAPITAL PLANNING SECURITIES COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/18/1981

Series 1

Date: 11/16/1972

Series 00

Date: 12/26/1975

Current Firm

OAK TREE SECURITIES, INC.

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OAK TREE SECURITIES, INC.

TRUST BUT VERIFY

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