LU
Lawrence E. Uertz
BOLTON GLOBAL CAPITAL
GREENSBORO, GA
Some features on this profile are disabled
CRD#: 451327
LU
Professional summary
Lawrence Edward Uertz is a registered financial professional currently at BOLTON GLOBAL CAPITAL located in Greensboro, Georgia.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1970. Lawrence has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, PC, Series 000, Series 1, Series 4, Series 53, Series 24 and Series 12 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Edward Uertz'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
January 31, 2003 - Present
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
GREENSBORO, GA
Past
August 11, 1989 - February 6, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
August 5, 1977 - September 15, 1979
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
Past
June 9, 1970 - September 4, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
BD
CRD#: 640
Past
June 3, 1970 - August 16, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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
Alabama(7/2/2019)
RR
Colorado(1/31/2003)
RR
Connecticut(3/19/2013)
RR
District of Columbia(1/31/2003)
RR
Florida(1/31/2003)
RR
Georgia(1/31/2003)
RR
Illinois(10/24/2025)
RR
Indiana(1/9/2019)
RR
Maine(1/31/2003)
RR
Maryland(9/22/2022)
RR
Massachusetts(1/31/2003)
RR
Michigan(5/3/2016)
RR
New Hampshire(2/3/2003)
RR
New Jersey(9/17/2018)
RR
New York(1/31/2003)
RR
North Carolina(1/14/2019)
RR
Pennsylvania(7/22/2003)
RR
Rhode Island(6/2/2017)
RR
South Carolina(10/24/2025)
RR
Texas(2/24/2003)
RR
Vermont(2/6/2003)
RR
Virginia(10/15/2009)
RR
Washington(12/5/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 11/11/1982
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 1/19/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 10/16/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 6/3/1970
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 6/3/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 4/26/1980
NYSE Branch Manager ExaminationSRO Registrations
RR
FINRA
Current Firm
BG
BOLTON GLOBAL CAPITAL
BOLTON GLOBAL CAPITAL | DELTA EQUITY SERVICES CORPORATION | CLARY FINANCIAL PLANNING SERVICES INC. | CLARY FINANCIAL PLANNING SERVICES
CRD#: 15650 / SEC#: , 8-33222
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-5361
Established
Massachusetts since 11/29/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
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.
