LS
Lawrence E. Sarkozy
LEDGEWOOD WEALTH ADVISORS
Exeter, NH 03833
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CRD#: 4352258
LS
Professional summary
Lawrence Edward Sarkozy is a registered financial advisor currently at LEDGEWOOD WEALTH ADVISORS, LLC located in Exeter, New Hampshire.
Lawrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Lawrence has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Edward Sarkozy'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®
NoneExperience
Current
October 15, 2020 - Present
LEDGEWOOD WEALTH ADVISORS, LLC
Office #1: 92 Portsmouth Avenue Suite 15, Exeter, NH 03833RIA
CRD#: 109049
Exeter, NH
Past
February 8, 2005 - July 29, 2010
USCA SECURITIES LLC
BD
CRD#: 103789
EXETER, NH
Past
February 12, 2004 - September 22, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
May 16, 2001 - January 8, 2004
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LW
LEDGEWOOD WEALTH ADVISORS, LLC
LEDGEWOOD ADVISORS, LLC | LEDGEWOOD WEALTH ADVISORS, LLC
CRD#: 109049 / SEC#: 801-114871
RIA
Registered Investment Advisory firm - (3/22/2019 Approved)Florida
Registered Investment Advisory firm - (3/25/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (3/25/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (4/4/2019 Terminated)New Jersey
Registered Investment Advisory firm - (3/27/2019 Terminated)New York
Registered Investment Advisory firm - (3/25/2019 Terminated)Texas
Registered Investment Advisory firm - (3/25/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New Hampshire(10/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
LW
LEDGEWOOD WEALTH ADVISORS, LLC
LEDGEWOOD ADVISORS, LLC | LEDGEWOOD WEALTH ADVISORS, LLC
CRD#: 109049 / SEC#: 801-114871
RIA
Registered Investment Advisory firm - (3/22/2019 Approved)Florida
Registered Investment Advisory firm - (3/25/2019 Terminated)Massachusetts
Registered Investment Advisory firm - (3/25/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (4/4/2019 Terminated)New Jersey
Registered Investment Advisory firm - (3/27/2019 Terminated)New York
Registered Investment Advisory firm - (3/25/2019 Terminated)Texas
Registered Investment Advisory firm - (3/25/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
92 Portsmouth Avenue Suite 15, Exeter, NH 03833
Mailing Address
Phone number
(603) 773-0080
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 252 |
| AUM (Assets Under Management) | $ 202,277,485 |
Red Flags
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Company Information
LEDGEWOOD WEALTH ADVISORS, LLC
CRD#: 109049Exeter, NH 03833TRUST BUT VERIFY
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