Lawrence M. Lewis
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 Myles Lewis, who also goes by Larry Lewis, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1976. Lawrence had worked at 16 firms and has passed the Series 63, SIE 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 15, 2000 - July 1, 2016
CARTY, HARDING & HEARN, INC.
June 30, 1999 - August 15, 2000
B. RILEY WEALTH MANAGEMENT
March 21, 1994 - July 13, 1999
NBC CAPITAL MARKETS GROUP, INC.
March 18, 1991 - March 28, 1994
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
November 1, 1990 - March 21, 1991
THE TRADING DESK, INC.
November 17, 1989 - November 12, 1990
ROBERT THOMAS SECURITIES, INC
July 18, 1989 - October 3, 1989
SCHAEFER SECURITIES, INC.
March 7, 1989 - July 27, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
June 13, 1988 - March 9, 1989
POWELL & SATTERFIELD, INC.
November 20, 1987 - June 22, 1988
THOMSON MCKINNON SECURITIES INC.
August 14, 1987 - October 6, 1987
MORTGAGE GOVERNMENT SECURITIES, INC.
March 14, 1987 - October 2, 1987
M.G.S.I. SECURITIES, INC.
August 19, 1980 - March 6, 1987
CARTY, HARDING & HEARN, INC.
August 6, 1979 - September 11, 1980
UMIC, INC.
April 10, 1979 - August 19, 1979
BEVILL, BRESLER & SCHULMAN INCORPORATED
October 26, 1977 - April 20, 1979
TRANSAMERICAN SECURITIES, INC.
February 9, 1976 - June 27, 1977
G. WEEKS & CO., 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 40
Date: 11/21/1976
Registered Principal ExaminationCurrent Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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.
