Lari K. Ryan
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.
Lari Karen Ryan, who also goes by Lari Hancock, Laurie Ryan Hancock, Laurie Hancock, Lari K Haynes, Laurie Haynes, Laurie Ryan Holmes, Laree Ryan, Lari Ryan, Laurie Karen Ryan, Laurie Ryan, Lari K Ryan-scott, Lari Karen Ryanhancock, Laurie Snyder, was a registered financial professional .
Lari is a previously registered financial professional and started their career in finance in 1979. Lari had worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2014 - October 27, 2014
NATIONAL PLANNING CORPORATION
April 17, 2012 - January 9, 2013
NYLIFE SECURITIES LLC
November 19, 2010 - August 3, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
November 9, 1995 - February 2, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 31, 1994 - April 26, 1995
CITIGROUP GLOBAL MARKETS INC.
February 8, 1994 - September 27, 1994
FIDELITY BROKERAGE SERVICES LLC
April 2, 1993 - September 1, 1993
SPELMAN & CO., INC.
July 26, 1989 - August 15, 1990
ASB FINANCIAL SERVICES
November 8, 1988 - January 21, 1989
J.C. BRADFORD & CO.
October 6, 1986 - February 3, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
March 13, 1986 - June 17, 1986
TAMARON INVESTMENTS, INC.
May 4, 1984 - March 19, 1986
LEHMAN BROTHERS INC.
March 15, 1983 - May 21, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 9, 1981 - April 23, 1982
SAN DIEGO SECURITIES INCORPORATED
December 21, 1979 - April 6, 1981
MORGAN STANLEY DW 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
Current Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| 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.
