Lawrence J Eiben
CFP®Professional Summary
Lawrence J Eiben, CFP®, who also goes by L J Eiben, L. J. Eiben, Lawrence James Eiben, is a registered financial advisor currently at RAYMOND JAMES (USA) LTD.. Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Lawrence has worked at 2 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 53, Series 4, Series 24, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
L J Eiben, L. J. Eiben, Lawrence James Eiben
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
Contact Information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2Phone Number
(604) 659-8200Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Medium# of Employees
175SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | — |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory Assets Under Management
Total Number of Accounts
4,869AUM (Assets Under Management)
$1,991,381,912Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
State Registrations and Notice Filings
(1/3/2019)
(8/20/2014)
(9/23/2024)
(10/6/2014)
(6/24/2026)
(10/6/2021)
(11/22/2021)
(1/25/2024)
(8/4/2026)
(3/26/2026)
(8/12/2016)
(12/13/2021)
(7/11/2024)
(3/15/2024)
(8/26/2025)
(1/20/2016)
(3/2/2026)
(1/6/2012)
(6/18/2012)
(11/26/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2007About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2007About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lawrence J Eiben's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence J Eiben's CRS (Customer Relationship Summary).
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