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LL

Larry O. Lawrence

COMMONWEALTH AUSTRALIA SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 4237420
LL

Professional summary

Larry O Lawrence is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.

Larry is registered as a RR (Registered Representative) and started their career in finance in 2000. Larry has 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Larry O Lawrence's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 2, 2024 - Present

COMMONWEALTH AUSTRALIA SECURITIES LLC

Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022
BD
CRD#: 136321
New York, NY
Past

September 12, 2022 - August 8, 2023

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
NEW YORK, NY
Past

April 22, 2010 - April 25, 2022

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

August 26, 2009 - April 12, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

August 13, 2008 - August 24, 2009

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

August 29, 2001 - July 2, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 27, 2000 - March 23, 2001

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/2/2024)
RR
Delaware
(10/2/2024)
RR
District of Columbia
(10/2/2024)
RR
Florida
(10/2/2024)
RR
Georgia
(10/2/2024)
RR
Hawaii
(10/2/2024)
RR
Idaho
(10/2/2024)
RR
Illinois
(10/2/2024)
RR
Indiana
(10/2/2024)
RR
Iowa
(10/2/2024)
RR
Kansas
(10/2/2024)
RR
Kentucky
(10/2/2024)
RR
Louisiana
(10/2/2024)
RR
Maryland
(10/2/2024)
RR
Michigan
(10/2/2024)
RR
Minnesota
(10/2/2024)
RR
Mississippi
(10/2/2024)
RR
Missouri
(10/2/2024)
RR
Nevada
(10/2/2024)
RR
New Hampshire
(10/2/2024)
RR
New Jersey
(10/2/2024)
RR
New Mexico
(10/2/2024)
RR
New York
(10/2/2024)
RR
North Dakota
(10/2/2024)
RR
Ohio
(10/3/2024)
RR
Oklahoma
(10/2/2024)
RR
Pennsylvania
(10/2/2024)
RR
South Carolina
(10/2/2024)
RR
South Dakota
(10/2/2024)
RR
Tennessee
(10/2/2024)
RR
Texas
(10/2/2024)
RR
Vermont
(10/2/2024)
RR
Virginia
(10/2/2024)
RR
Washington
(10/2/2024)
RR
Wisconsin
(10/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/29/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/5/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/26/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/4/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CA
COMMONWEALTH AUSTRALIA SECURITIES LLC
COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC

CRD#: 136321 / SEC#: , 8-66998

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
599 Lexington Avenue 30th Fl, New York, NY 10022
Mailing Address
599 Lexington Avenue 30th Fl, New York, NY 10022
Phone number
(212) 848-9200
Established
Delaware since 05/10/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
COMMONWEALTH BANK 0F AUSTRALIASOLE MEMBER
FELDMAN, RICHARD MARKPFO2273453
LAWRENCE, LARRY OCEO4237420
POULTON, JAYSON ALANCFO & POO6738733
VARALLI MCCLELLAND, ANN LOUISEPRINCIPAL - FIXED INCOME1043191
WALSH, PAUL ROBERTCHIEF COMPLIANCE OFFICER3189041
WINTERS, JENNIFERANTI-MONEY LAUNDERING COMPLIANCE OFFICER2604316

Disclosures

Regulatory Event2

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.

Company Information

COMMONWEALTH AUSTRALIA SECURITIES LLC

CRD#: 136321New York, NY 10022

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