Lawrence W. Gamble
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 Wayne Gamble, who also goes by Lawrence W Gamble Mr, Lawrence Gamble, Wayne Gamble, L. Wayne Gamble, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1999. Lawrence had worked at 13 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
June 1, 2016 - May 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2016 - May 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2015 - March 28, 2016
WADDELL & REED
November 11, 2015 - March 28, 2016
WADDELL & REED
April 12, 2012 - October 31, 2013
TRUIST INVESTMENT SERVICES, INC.
December 12, 2011 - October 31, 2013
TRUIST INVESTMENT SERVICES, INC.
May 14, 2011 - December 13, 2011
R.M. STARK & CO., INC.
February 19, 2009 - May 26, 2009
CUNA BROKERAGE SERVICES, INC.
February 19, 2009 - May 26, 2009
CUNA BROKERAGE SERVICES, INC.
July 18, 2008 - November 7, 2008
WADDELL & REED
July 18, 2008 - November 7, 2008
WADDELL & REED
April 2, 2008 - July 9, 2008
CETERA WEALTH SERVICES, LLC
August 27, 2007 - July 9, 2008
CETERA WEALTH SERVICES, LLC
July 25, 2006 - June 26, 2007
ALLSTATE FINANCIAL SERVICES, LLC
August 25, 2004 - May 16, 2006
SECU BROKERAGE SERVICES
August 25, 2004 - May 16, 2006
SECU BROKERAGE SERVICES
June 30, 2003 - August 23, 2004
OSAIC FA, INC.
June 30, 2003 - August 23, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 30, 2003 - August 23, 2004
OSAIC FA, INC.
September 25, 2002 - March 12, 2003
MSI FINANCIAL SERVICES, INC.
August 14, 2002 - March 12, 2003
METROPOLITAN LIFE INSURANCE COMPANY
August 14, 2002 - March 12, 2003
MSI FINANCIAL SERVICES, INC.
February 17, 2000 - August 20, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 3, 1999 - August 20, 2002
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
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.
