Lawrence J. Penna
Professional summary
Lawrence Joseph Penna was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Lawrence had worked at 2 firms, which includes INVESTORS ASSOCIATES INC., BARON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1972 - September 22, 1997
INVESTORS ASSOCIATES, INC.
October 8, 1970 - December 20, 1971
BARON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/30/1969
Registered Representative ExaminationSeries 00
Date: 5/15/1972
General Securities Principal ExaminationCurrent Firm
INVESTORS ASSOCIATES, INC.
CRD#: 958 / SEC#: , 8-15007
Contact information
Documents
Red Flags
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