Lawrence B. Klein
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 Bruce Klein was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1980. Lawrence had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2013 - January 2, 2018
AARDVARK SECURITIES LLC
September 23, 2002 - November 10, 2011
TRANSMARKET GROUP L.L.C.
December 16, 1991 - September 13, 2002
ING FINANCIAL MARKETS LLC
October 4, 1991 - December 13, 1991
ROSENTHAL GLOBAL SECURITIES LLC
April 23, 1985 - May 24, 1989
FIRST OPTIONS OF CHICAGO, INC.
May 23, 1980 - October 10, 1984
BECKER PARIBAS INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
AARDVARK SECURITIES LLC
CRD#: 166932 / SEC#: , 8-69235
Contact information
Documents
Red Flags
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