Lawrence Louis Silverstein Sr
Professional Summary
Lawrence Louis Silverstein SR, who also goes by Larry Silverstein, Lawrence Louis Silverstein, was a registered financial advisor. Lawrence was a previously registered financial professional and started their career in finance 1970 - 2002. Lawrence had worked at 8 firms and has passed the Series 63, Series 5, Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Larry Silverstein, Lawrence Louis Silverstein
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Videos & Posts
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Contact Information
No current employment
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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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Years of Experience
58 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS
Contact Information
Main Address
40 South Main Suite 1800, Memphis, TN 38103Mailing Address
40 South Main Suite 1600, Memphis, TN 38103Phone Number
(901) 251-1330Established
Tennessee since 01/10/1992Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
250FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | — |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory Assets Under Management
Total Number of Accounts
9,621AUM (Assets Under Management)
$4,118,839,755Disclosures
Regulatory Event
18Arbitration
4Bond
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Sep 1982Series 1 — Registered Representative Examination
Passed Jul 1968Series 00 — General Securities Principal Examination
Passed Sep 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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