Richard James Lawrence
Professional Summary
Richard James Lawrence, who also goes by Dick Lawrence, was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 1968 - 2017. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dick Lawrence
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
64 years in the financial services industry
Current & Past Employments
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Current Firm
BATHGATE CAPITAL PARTNERS LLC | GVC CAPITAL LLC | BATHGATE MCCOLLEY CAPITAL GROUP LLC
Contact Information
Main Address
16318 E Berry Ave, Centennial, CO 80015Mailing Address
16318 E Berry Ave, Centennial, CO 80015Phone Number
(303) 694-0862Established
Colorado since 06/09/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (41 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed May 1962Series 40 — Registered Principal Examination
Passed Mar 1968Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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