Lawrence C. Focht
Professional summary
Lawrence Christopher Focht, who also goes by Larry Focht, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 2006. Lawrence has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Christopher Focht's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2016 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355November 23, 2016 - December 31, 2024
VANGUARD ADVISERS, INC.
July 5, 2006 - May 3, 2010
VANGUARD MARKETING CORPORATION
February 13, 2006 - July 7, 2006
STATE FARM VP MANAGEMENT CORP.
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
FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
