Richard J. Lawrence
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.
Richard James Lawrence, who also goes by Dick Lawrence, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2003 - July 6, 2017
GVC CAPITAL LLC
April 8, 2002 - February 11, 2003
SANDS BROTHERS & CO., LTD.
August 19, 1986 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
September 29, 1978 - August 18, 1986
WALL STREET WEST, INC.
May 5, 1978 - November 13, 1978
DAIN RAUSCHER INCORPORATED
March 28, 1968 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
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 1
Date: 5/1/1962
Registered Representative ExaminationSeries 40
Date: 3/20/1968
Registered Principal ExaminationCurrent Firm
GVC CAPITAL LLC
CRD#: 38923 / SEC#: , 8-48465
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
