Thomas Anthony Lawrence
Professional Summary
Thomas Anthony Lawrence is a registered financial advisor currently at BEECH HILL SECURITIES, INC. located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 17 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BEECH HILL SECURITIES, INC. | CANTOR, WEISS & FRIEDNER, INC. | CANTOR & WEISS, INC. | BH INDEPENDENT ADVISOR SOLUTIONS
Contact Information
Main Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730Mailing Address
880 3rd Avenue 16th Floor, New York, NY 10022-4730Phone Number
(212) 350-7200Established
New York since 05/12/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/5/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(5/31/2018)
(9/5/2017)
(9/5/2017)
(9/5/2017)
(10/6/2021)
(11/11/2021)
(4/6/2018)
(9/5/2017)
(9/5/2017)
(1/29/2021)
(1/29/2021)
(3/4/2026)
(6/11/2021)
(4/19/2022)
(9/5/2017)
(9/5/2017)
(1/4/2023)
(7/8/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 17 — Limited Registered Representative Examination
Passed Jun 2008SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Anthony Lawrence's CRS (Customer Relationship Summary).
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