AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
LF

Lauren R. Frawley

ARCHIPELAGO SECURITIES L.L.C.
New York, NY 10005
Some features on this profile are disabled
CRD#: 6960759
LF

Professional summary

Lauren Rose Frawley is a registered financial professional currently at ARCHIPELAGO SECURITIES L.L.C. located in New York, New York.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2018. Lauren has worked at 2 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lauren Rose Frawley'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

October 26, 2022 - Present

ARCHIPELAGO SECURITIES L.L.C.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 102500
New York, NY
Past

November 6, 2018 - October 6, 2020

CANTOR FITZGERALD & CO.

BD
CRD#: 134
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
New York
(4/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/6/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 7/8/2022
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 3/16/2020
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 11/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/7/2019
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

AS
ARCHIPELAGO SECURITIES L.L.C.
ARCHIPELAGO SECURITIES L.L.C. | REDIBOOK ECN LLC

CRD#: 102500 / SEC#: , 8-52140

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
353 North Clark Street Suite #3200, Chicago, IL 60654
Mailing Address
353 North Clark Street Suite #3200, Chicago, IL 60654
Phone number
(312) 836-6700
Established
Delaware since 09/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NYSE GROUP, INC.HOLDING COMPANY
KNIGHT, JOHN CHARLESCHIEF COMPLIANCE OFFICER5187603
THOMASSON, SEAN JOSEPHFINANCIAL AND OPERATIONS PRINCIPAL5124423
TOBIN, BRYAN THOMASSUPERVISORY PRINCIPAL5232664
TURTORO, ROBERT JOHNEXECUTIVE PRINCIPAL2640205

Disclosures

Regulatory Event6

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

ARCHIPELAGO SECURITIES L.L.C.

CRD#: 102500New York, NY 10005

TRUST BUT VERIFY

Monitor Lauren Frawley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics