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LL

Lawrence L. Livornese

4170 SECURITIES LLC
CHICAGO, IL 60654
Some features on this profile are disabled
CRD#: 5981288
LL

Professional summary

Lawrence Louis Livornese, who also goes by Lawrence Louis Livornese III, Lawrence Livornese, is a registered financial professional currently at 4170 SECURITIES LLC located in Chicago, Illinois.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 2011. Lawrence has worked at 7 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lawrence Louis Livornese Iii | Lawrence Livornese

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawrence Louis Livornese's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 12, 2025 - Present

4170 SECURITIES LLC

Office #1: 372 West Ontario Street Suite 502, Chicago, IL 60654
BD
CRD#: 326718
CHICAGO, IL
Past

November 1, 2019 - November 29, 2023

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

November 1, 2019 - November 29, 2023

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
New York, NY
Past

April 21, 2017 - August 23, 2019

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 9, 2015 - March 29, 2017

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

December 17, 2014 - March 29, 2017

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA
Past

October 7, 2011 - March 29, 2017

SAL EQUITY TRADING, GP

BD
CRD#: 29337
BALA CYNWYD, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/11/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/17/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/25/2013
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/6/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

4S
4170 SECURITIES LLC
4170 SECURITIES LLC

CRD#: 326718 / SEC#: , 8-71102

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
372 West Ontario Street Suite 502, Chicago, IL 60654
Mailing Address
372 West Ontario Street Suite 400, Chicago, IL 60654
Phone number
(312) 912-7336
Established
Illinois since 03/08/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
4170 HOLDINGS LLCMEMBER
ASTON, JONATHAN PETERCHIEF RISK OFFICER3182932
NICKS, BRENT PATRICKCHIEF COMPLIANCE OFFICER4067773
SILBERBERG, CRAIG DMANAGER
WILSON, CHARLENE FAITHFINOP1935747

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.

Company Information

4170 SECURITIES LLC

CRD#: 326718Chicago, IL 60654

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