Lawrence J. Canavan
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 John Canavan, who also goes by Larry Canavan, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1969. Lawrence had worked at 10 firms and has passed the Series 63, PC, Series 000 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
June 28, 1999 - December 31, 2002
CANTELLA & CO., INC.
July 23, 1992 - January 12, 1999
OSAIC WEALTH, INC.
March 26, 1990 - July 7, 1992
MORGAN STANLEY DW INC.
May 25, 1988 - February 21, 1990
JSC SECURITIES, INC.
April 27, 1987 - March 17, 1988
CITIGROUP GLOBAL MARKETS INC.
March 18, 1982 - May 1, 1987
MORGAN STANLEY DW INC.
January 31, 1980 - March 4, 1982
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 15, 1975 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 20, 1971 - March 25, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 3, 1969 - May 6, 1971
GOODBODY & CO. INCORPORATED
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: 5/22/1990
AMEX Put and Call ExamSeries 000
Date: 11/26/1969
General Securities Principal ExaminationSeries 1
Date: 11/26/1969
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
