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Lawrence Sanicola

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CRD#: 703184
LS

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 Sanicola was a registered financial professional .

Lawrence is a previously registered financial professional and started their career in finance in 1980. Lawrence had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 27, 2016 - September 14, 2018

CAVU SECURITIES LLC

BD
CRD#: 6906
NEW YORK, NY
Past

November 3, 2014 - December 19, 2014

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
NEW YORK, NY
Past

February 7, 2013 - October 31, 2014

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
NEW YORK, NY
Past

October 11, 2012 - January 5, 2015

METHOD INVESTMENTS & ADVISORY LLC

BD
CRD#: 157887
NEW YORK, NY
Past

May 5, 2006 - June 29, 2011

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

January 16, 2003 - April 11, 2003

A.B. WATLEY, INC.

BD
CRD#: 797
NEW YORK, NY
Past

June 18, 2001 - February 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

March 17, 1998 - December 13, 2000

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 15, 1992 - December 23, 1997

UTENDAHL CAPITAL PARTNERS, L.P.

BD
CRD#: 30115
NEW YORK, NY
Past

March 27, 1992 - July 21, 1992

BROADCORT CAPITAL CORP.

BD
CRD#: 13456
NEW YORK, NY
Past

July 20, 1984 - March 23, 1992

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 8, 1980 - July 2, 1984

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/2/1992
Financial and Operations Principal Examination

Current Firm

CS
CAVU SECURITIES LLC
CAVU SECURITIES LLC | POINT CAPITAL MARKETS, LLC | POINT CAPITAL MARKETS, INC. | JOHN M. CUNNINGHAM INC. | JOHN M, CUNNINGHAM, INC

CRD#: 6906 / SEC#: , 8-18428

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
777 Third Avenue Suite 2102, New York, NY 10017
Mailing Address
777 Third Avenue Suite 2102, New York, NY 10017
Phone number
(212) 916-3840
Established
Delaware since 08/02/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GPAR HOLDINGS I, LLCSHAREHOLDER
FLORIDA CAVU, LLCSHAREHOLDER
LOHWATER, KARL WILLEMFINANCIAL AND OPERATIONS PRINCIPAL2684561
MEDINA, NICOLAS ETTORECHIEF COMPLIANCE OFFICER2413385
PARSONS, GREGORY ALLENPRESIDENT, CEO,3148868

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

CAVU SECURITIES LLC

CRD#: 6906

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