Lawrence A. Carton
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 A Carton IV, who also goes by Augie Carton, L A Carton IV, Lawrence A Carton Iv, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 2004. Lawrence had worked at 4 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2012 - January 12, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
January 20, 2009 - February 24, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
November 3, 2004 - November 24, 2008
GFI SECURITIES LLC
August 25, 2004 - November 15, 2004
BURLINGTON CAPITAL MARKETS INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/21/2004
Limited Representative-Equity Trader ExamCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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