Laurence S. Wooters
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.
Laurence Slaughter Wooters, who also goes by Laurence S. Wooters, Laurence Wooters, Lawrence Slaughter Wooters, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1980. Laurence had worked at 10 firms and has passed the Series 63, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2013 - August 13, 2013
CHARLES SCHWAB & CO., INC.
May 19, 2010 - April 25, 2012
CAIN BROTHERS & COMPANY, LLC
July 30, 2009 - May 28, 2010
HAPOALIM SECURITIES USA, INC.
May 18, 2009 - June 25, 2009
UBS FINANCIAL SERVICES INC.
May 13, 2009 - June 25, 2009
UBS FINANCIAL SERVICES INC.
July 14, 2005 - December 10, 2007
A. G. EDWARDS & SONS, INC.
January 22, 1998 - December 10, 2007
A. G. EDWARDS & SONS, INC.
August 3, 1990 - July 3, 1997
MORGAN STANLEY MARKET PRODUCTS INC.
August 3, 1990 - January 7, 1998
MORGAN STANLEY & CO. LLC
April 14, 1983 - March 13, 1990
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
January 2, 1982 - November 9, 1982
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 1, 1980 - October 28, 1981
VIERLING, DEVANEY & MAGUIRE, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
