Larry O. Lawrence
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 O Lawrence was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 2000. Larry had worked at 7 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2024 - February 17, 2026
COMMONWEALTH AUSTRALIA SECURITIES LLC
September 12, 2022 - August 8, 2023
LOOP CAPITAL MARKETS LLC
April 22, 2010 - April 25, 2022
SG AMERICAS SECURITIES, LLC
August 26, 2009 - April 12, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 13, 2008 - August 24, 2009
COHEN & COMPANY SECURITIES, LLC
August 29, 2001 - July 2, 2008
CITIGROUP GLOBAL MARKETS INC.
September 27, 2000 - March 23, 2001
NEW ENGLAND SECURITIES
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/5/2001
Limited Representative-Equity Trader ExamCurrent Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| VARALLI MCCLELLAND, ANN LOUISE | CHIEF EXECUTIVE OFFICER | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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