CL
Christina H. Lawrance
COMMONWEALTH AUSTRALIA SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6383959
CL
Professional summary
Christina Howe Lawrance is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.
Christina is registered as a RR (Registered Representative) and started their career in finance in 2016. Christina has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Christina Howe Lawrance'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®
NoneExperience
Current
July 17, 2017 - Present
COMMONWEALTH AUSTRALIA SECURITIES LLC
Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022BD
CRD#: 136321
New York, NY
Past
August 23, 2016 - July 5, 2017
NATIONAL BANK OF CANADA FINANCIAL INC.
BD
CRD#: 22698
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/17/2017)
RR
Delaware(7/24/2018)
RR
District of Columbia(7/24/2018)
RR
Florida(7/24/2018)
RR
Georgia(7/24/2018)
RR
Hawaii(7/24/2018)
RR
Idaho(7/24/2018)
RR
Illinois(7/24/2018)
RR
Indiana(12/14/2018)
RR
Iowa(7/24/2018)
RR
Kansas(7/24/2018)
RR
Kentucky(7/24/2018)
RR
Louisiana(10/25/2017)
RR
Maryland(7/24/2018)
RR
Michigan(7/24/2018)
RR
Minnesota(7/24/2018)
RR
Mississippi(7/24/2018)
RR
Missouri(7/24/2018)
RR
Nevada(7/24/2018)
RR
New Hampshire(7/24/2018)
RR
New Jersey(8/7/2018)
RR
New Mexico(7/24/2018)
RR
New York(7/17/2017)
RR
North Dakota(1/11/2019)
RR
Ohio(7/24/2018)
RR
Oklahoma(7/24/2018)
RR
Pennsylvania(7/24/2018)
RR
South Carolina(7/24/2018)
RR
South Dakota(7/24/2018)
RR
Tennessee(7/24/2018)
RR
Texas(8/20/2018)
RR
Vermont(7/24/2018)
RR
Virginia(7/24/2018)
RR
Washington(7/24/2018)
RR
Wisconsin(7/24/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
COMMONWEALTH AUSTRALIA SECURITIES LLC
COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC
CRD#: 136321 / SEC#: , 8-66998
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
599 Lexington Avenue 30th Fl, New York, NY 10022
Mailing Address
599 Lexington Avenue 30th Fl, New York, NY 10022
Phone number
(212) 848-9200
Established
Delaware since 05/10/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| LAWRENCE, LARRY O | CEO | 4237420 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
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.
