Lawrence T. Yamamura
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 Tadashi Yamamura, who also goes by Larry Yamamura, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1970. Lawrence had worked at 8 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - July 2, 2014
J.W. COLE FINANCIAL, INC.
June 4, 2012 - October 1, 2013
PARKLAND SECURITIES, LLC
February 25, 2003 - June 5, 2012
THE LEADERS GROUP, INC.
January 24, 1991 - February 27, 2003
PRINCIPAL SECURITIES, INC.
May 23, 1989 - September 7, 1990
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 10, 1986 - March 6, 1989
GUARDIAN INVESTOR SERVICES LLC
October 20, 1980 - June 18, 1985
EQUITABLE ADVISORS, LLC
March 31, 1970 - June 18, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 3/27/1970
Registered Representative ExaminationCurrent Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
