Lawrence J. Radcliffe
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 James Radcliffe, who also goes by Jim Radcliffe, Lawrence James Radcliffe, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1979. Lawrence had worked at 16 firms and has passed the Series 63 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 8, 2012 - October 4, 2013
EQUITY SERVICES, INC.
April 1, 2010 - April 11, 2011
EQUITABLE ADVISORS, LLC
March 18, 2009 - December 11, 2009
SIGMA FINANCIAL CORPORATION
August 2, 2007 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
April 2, 2007 - August 2, 2007
THE O.N. EQUITY SALES COMPANY
January 11, 2006 - April 3, 2006
RESOURCE HORIZONS GROUP LLC
August 2, 2004 - May 9, 2005
RESOURCE HORIZONS GROUP LLC
September 13, 1999 - February 25, 2004
STONEX SECURITIES INC.
January 15, 1997 - December 31, 1998
ARAGON FINANCIAL SERVICES, INC.
August 31, 1995 - December 31, 1996
ARAGON FINANCIAL SERVICES, INC.
September 16, 1994 - September 5, 1995
SECURITIES AMERICA, INC.
March 11, 1994 - September 13, 1994
OSAIC FS, INC.
December 20, 1990 - December 31, 1993
STONEX SECURITIES INC.
February 23, 1988 - November 28, 1990
SECURITIES SERVICE NETWORK, LLC
January 15, 1988 - March 2, 1988
CAREY JAMISON & COMPANY
March 29, 1984 - February 3, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
March 22, 1983 - August 13, 1984
FSC SECURITIES CORPORATION
November 16, 1982 - March 4, 1983
E. F. HUTTON & COMPANY INC
December 19, 1979 - August 11, 1982
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
Series 1
Date: 12/12/1979
Registered Representative ExaminationCurrent Firm
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
