Lawrence E. Fish
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 Edwin Fish was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1971. Lawrence had worked at 5 firms and has passed the Series 7, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 1990 - December 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 2, 1980 - May 24, 1990
CITIGROUP GLOBAL MARKETS INC.
July 22, 1975 - September 7, 1976
TOWER SQUARE SECURITIES, INC.
June 9, 1972 - August 7, 1975
U. S. BOSTON CAPITAL CORPORATION
June 9, 1971 - July 5, 1972
THE I.E.S. MANAGEMENT GROUP, 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
PC
Date: 12/1/1979
AMEX Put and Call ExamSeries 1
Date: 6/2/1971
Registered Representative ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
