Lawrence P. Sullivan
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 Procter Sullivan was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 2008. Lawrence had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2015 - February 24, 2016
JOSEPH STONE CAPITAL L.L.C.
July 2, 2014 - October 16, 2015
LAIDLAW & COMPANY (UK) LTD.
August 20, 2013 - September 25, 2013
GLOBAL ARENA CAPITAL CORP
January 18, 2013 - July 8, 2013
GLOBAL ARENA CAPITAL CORP
April 28, 2011 - June 10, 2011
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 18, 2010 - December 10, 2010
ROCKWELL GLOBAL CAPITAL LLC
October 29, 2009 - August 16, 2010
PRESTIGE FINANCIAL CENTER, INC.
August 26, 2009 - October 30, 2009
BROOKSTONE SECURITIES, INC.
April 21, 2009 - September 1, 2009
PRESTIGE FINANCIAL CENTER, INC.
February 20, 2009 - April 22, 2009
ITRADEDIRECT.COM CORP
December 8, 2008 - March 13, 2009
J.D. NICHOLAS & ASSOCIATES, INC.
March 24, 2008 - December 5, 2008
PRESTIGE FINANCIAL CENTER, 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
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
