Lawrence T. Stein
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 Todd Stein, who also goes by Larry Stein, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1974. Lawrence had worked at 11 firms and has passed the Series 63, SIE, 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
March 14, 2016 - January 22, 2021
EQUITABLE DISTRIBUTORS, LLC
October 1, 2015 - February 1, 2016
PLANMEMBER SECURITIES CORPORATION
January 5, 2012 - October 3, 2013
GWN SECURITIES INC.
March 10, 2010 - December 17, 2010
SIGNATOR FINANCIAL SERVICES, INC.
November 8, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 8, 2000 - March 4, 2009
VALIC FINANCIAL ADVISORS, INC.
February 23, 1996 - June 30, 2000
VOYA FINANCIAL ADVISORS, INC.
July 7, 1992 - February 26, 1996
JACKSON SECURITIES LLC
June 26, 1991 - November 18, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 4, 1977 - March 27, 1991
CITISTREET EQUITIES LLC
October 8, 1974 - October 23, 1976
THE VARIABLE ANNUITY MARKETING CO
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 1
Date: 9/27/1974
Registered Representative ExaminationSeries 40
Date: 12/23/1977
Registered Principal ExaminationCurrent Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| LARUSSA, CHRISTOPHER JOHN | CHIEF COMPLIANCE OFFICER | 4728315 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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