Lawrence H. Carmel
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 Harold Carmel, who also goes by Lawrence H Carmel, Lawrence Carmel, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1968. Lawrence had worked at 8 firms and has passed the Series 63, Series 000, 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
September 24, 2001 - August 7, 2012
LARIMER CAPITAL CORPORATION
April 2, 1998 - September 6, 2001
SPENCER CLARKE LLC
September 2, 1988 - March 11, 1998
HAMPSHIRE SECURITIES CORPORATION
April 18, 1985 - June 17, 1989
MOSTEL & TAYLOR SECURITIES INC.
June 14, 1984 - March 30, 1987
A.M. LEVINE & CO., INC.
October 12, 1973 - June 4, 1978
BERNARD HEROLD & CO., INC.
November 8, 1968 - October 19, 1973
EPSTEIN PARKER CAMEL & GAER INC
November 4, 1968 - June 7, 1984
JOSEPHTHAL & CO., INC.
Primary Firm SEC Registration
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
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 000
Date: 11/4/1968
General Securities Principal ExaminationSeries 1
Date: 11/4/1968
Registered Representative ExaminationSeries 40
Date: 3/27/1972
Registered Principal ExaminationCurrent Firm
LARIMER CAPITAL CORPORATION
CRD#: 18189 / SEC#: 801-29070, 8-36594
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARMEL, ADAM MORMAN | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1074710 |
| CARMEL, KATHLEEN HAWKINS | SECRETARY |
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 156,240,746 |
Disclosures
| Regulatory Event | 1 |
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.
