Lawrence W. Davis
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.
Lawrence William Davis was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1999. Lawrence had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2009 - May 7, 2019
HYA ADVISORS, INC
July 20, 2009 - May 7, 2019
HEIM, YOUNG & ASSOCIATES, INC.
June 17, 1999 - July 6, 2009
CETERA INVESTMENT ADVISERS LLC
January 13, 1999 - July 6, 2009
CETERA FINANCIAL SPECIALISTS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HYA ADVISORS, INC
CRD#: 106691 / SEC#: 801-38828
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 2,290 |
| AUM (Assets Under Management) | $ 916,969,027 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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