Larry J. Pries
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.
Larry Joseph Pries was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1967. Larry had worked at 9 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2015 - February 2, 2023
SIMPLICITY SOLUTIONS, LLC
May 28, 2014 - March 20, 2015
SAWTOOTH ASSET MANAGEMENT, INC.
December 13, 2000 - December 3, 2002
FINANCIAL MANAGEMENT SERVICES, LLC
May 1, 1997 - August 25, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
October 13, 1992 - November 20, 1996
JOHN HANCOCK DISTRIBUTORS LLC
November 19, 1989 - May 1, 1997
OSAIC WEALTH, INC.
June 27, 1981 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 5, 1980 - July 2, 1981
VOYA FINANCIAL ADVISORS, INC.
October 16, 1967 - September 11, 1980
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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: 9/21/1967
Registered Representative ExaminationCurrent Firm
SIMPLICITY SOLUTIONS, LLC
CRD#: 175009 / SEC#: 801-81008
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,118 |
| AUM (Assets Under Management) | $ 3,299,132,977 |
Red Flags
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