Lawrence R. Wheelock
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 Robert Wheelock, who also goes by Bob Wheelock, Robert Lawrence Wheelock, Robert Wheelock, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1972. Lawrence had worked at 7 firms and has passed the Series 63, Series 7, 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
August 27, 1996 - June 13, 1997
A & M SECURITIES, LLC
January 16, 1991 - April 24, 1996
M.G.S.I. SECURITIES, INC.
March 25, 1988 - November 14, 1989
SCHULTE & JOHNSON, INC.
January 4, 1988 - March 3, 1988
DOVER GROUP, INC.
May 6, 1987 - March 3, 1988
DOVER GROUP, INC.
November 30, 1976 - July 11, 1979
WESTCAP SECURITIES, L.P.
June 15, 1973 - April 21, 1976
HIBBARD & O'CONNOR SECURITIES, INC.
August 15, 1972 - April 6, 1973
HIBBARD, O'CONNOR & WEEKS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/11/1972
Registered Representative ExaminationSeries 40
Date: 2/7/1977
Registered Principal ExaminationCurrent Firm
A & M SECURITIES, LLC
CRD#: 39345 / SEC#: , 8-48648
Contact information
Documents
Red Flags
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